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Open nowPosted 67 days ago

Compliance Officer - Advisory Compliance

tigertech/index54 open roles

Where
Hong Kong (China), Hong Kong Island, Hong Kong, China
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Your applicationOpen nowCompliance Officer - Advisory Compliancetigertech/index · Hong Kong (China), Hong Kong Island, Hong Kong, China

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  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

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The clock on this job

Early applications get read.

12.3% of postings close within 7 days. Measured by our own scanner across the market.

Share of postings closed within
  1. 2.1%1 day
  2. 4.5%3 days
  3. 12.3%7 days
  4. 19.3%14 days
  5. 35.6%30 days
  6. 57.8%60 days
This job: posted 67 days ago

The posting

Job Summary: We are seeking a dedicated and experienced Compliance Officer to join our team. The ideal candidate will provide day-to-day compliance advisory to various business units, handle compliance-related projects, and contribute to business planning and processing. This role requires over 10 years of experience in a sizeable SFC-regulated financial institution, with solid expertise in providing compliance advisory services.

Key Responsibilities

  • Manage and oversee compliance-related projects, ensuring full adherence to applicable regulatory requirements
  • Handle compliance advisory matters raised by different stakeholders, including but not limited to regulatory standards and marketing materials
  • Develop and implement compliance policies, procedures, controls, and ongoing monitoring programs
  • Provide guidance and support to various departments on compliance matters
  • Liaise with regulatory bodies and ensure timely and accurate regulatory reporting
  • Stay abreast of regulatory developments and ensure the organization’s compliance framework remains current and effective
  • Acting as Deputy Head to support the Head of Legal & Compliance in handling assigned matters
  • Bachelor’s degree in law, Finance, Business, or a related field
  • Over 10 years of relevant compliance advisory experience within a sizeable SFC-regulated financial institution
  • Strong understanding of global financial markets, with solid knowledge in Hong Kong and U.S equities & options, China A/H shares, ETFs, derivatives, and cross-border investment products
  • Experience in supervising staff is preferred
  • Excellent analytical and problem-solving skill
  • Strong communication and interpersonal skill
  • Ability to work independently and as part of a team
  • Detail-oriented with a high level of accuracy
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