Title: Compliance Officer – Listed Securities Firm (HKD 35k–50k)

Location: Tsim Sha Tsui (TST)

Package: HKD 35,000 – 50,000 x 12 months + Performance Bonus

About the Role

We are seeking an experienced and self-motivated Compliance Officer to join our team in Tsim Sha Tsui. Operating in a sole-contributor capacity ("One-Man Band"), you will oversee and manage the full spectrum of compliance and regulatory duties for our listed securities business. This is an excellent opportunity for a seasoned professional looking for autonomy within a supportive and friendly team environment.

Key Responsibilities

• Oversee and handle all daily regulatory compliance and risk management operations.

• Ensure company operations fully comply with SFC regulations, Listing Rules, and relevant statutory requirements.

• Develop, review, and update internal compliance policies, controls, and operational procedures.

• Monitor AML/CFT protocols, perform risk assessments, and handle regulatory inquiries and filings.

• Provide clear regulatory advice and support to senior management and internal departments.

Requirements

• Relevant tertiary qualification (Degree or above) in Law, Finance, Business Administration, or a related discipline.

• At least 5 years of hands-on experience in compliance or risk management within the banking, broker-dealer, or financial services industry.

• Ability to work independently as a sole compliance professional while maintaining strong working relationships with internal teams.

• Strong knowledge of Hong Kong financial regulations and SFC regulatory frameworks.

• Excellent command of both spoken and written English and Chinese (Cantonese and Mandarin).

職位名稱： 合規主任 Compliance Officer（上市公司旗下證券行）

工作地點： 尖沙咀

薪酬待遇： 月薪 HKD 35,000 – 50,000 x 12個月 + 年終獎金

職位概述

我們正在尋找一位具豐富經驗且能獨立工作（One-Man Band）的合規主任（Compliance Officer）加入我們位於尖沙咀的團隊。您將全面負責及统籌本公司證券業務的合規與風險管理事項。團隊氣氛和睦友善，適合追求自主度與職涯穩定發展的專業人士。

主要職責

• 全面主導及處理日常監管合規與風險管理事務。

• 確保公司營運符合香港證監會（SFC）條例、上市規則及相關法律法規。

• 制定、檢討及更新內部合規政策、監控機制及營運流程。

• 執行打擊洗錢及恐怖分子資金籌集（AML/CFT）監控、風險評估及處理監管機構查詢與申報。

• 為管理層及各業務部門提供專業的法規諮詢及合規支援。

入職要求

• 持有法律、金融、工商管理或相關學科之學士或以上學位。

• 具備至少 5 年 於銀行、證券行或金融服務業從事合規（Compliance）或風險管理（Risk Management）的相關經驗。

• 能獨立處理全盤合規工作，同時具備良好的溝通協調能力與團隊融入度。

• 熟悉香港金融法規及證監會監管要求。

• 良好的中英文書寫及口語能力（包括廣東話及普通話）。

Banking & Financial Services

Banking & Finance

Kowloon

Permanent

HKD 30, 001- HKD 40, 000 / mth
HKD 40,001 - HKD 50,000 / mth