Compliance Consulting Limited has been established since 2003 in Hong Kong as a pioneer in the industry with strong reputation and successful track records. Our team of compliance specialists provides clients with consultation advice and cost-effective business solutions including SFC licensing, compliance outsourcing, facilitating and guiding the registration of companies and their representatives in compliance with the current regulatory regime. 

Job Responsibilities

• Provide ongoing compliance advice to our retainer clients
• Assist client in handling on-boarding procedures, including performing AML/ KYC related matters
• Handle enquiries from regulators e.g. SFC, HKMA and HKEx
• Handle corporate licensing applications
• Develop, maintain and implement compliance plans, manuals, policies and procedures for licensed corporations engaging in different regulated activities
• Develop compliance training materials
• Handle ad hoc tasks as assigned

Job Requirements

• University degree preferably in law, finance, accounting or related disciplines
• 4 years' solid compliance experience in SFC licensed firms, professional firms or regulator
• Less experience will also be considered 
• Sound knowledge of the SFO and other relevant codes and regulations 
• Well organized, self-motivated and good interpersonal skill
• Detail-oriented, mature and able to work independently
• Good command of spoken and written English, Cantonese and Mandarin

Compliance Consulting Limited has been established since 2003 in Hong Kong as a pioneer in the industry with strong reputation and successful track records. Our team of compliance specialists provides clients with consultation advice and cost-effective business solutions including SFC licensing, compliance outsourcing, facilitating and guiding the registration of companies and their representatives in compliance with the current regulatory regime.