Responsibilities:

• Act as Compliance Officer reported to the SFC and in-charge of compliance function of the company
• Manage and lead a small team of compliance staff on daily operations
• Identify and evaluate compliance risks of the operations and business activities
• Provide day to day regulatory advice and guidance on rules and internal policies and ensure the business units are in compliance with the law, rules and regulations
• Review business process and new initiatives put forward by the business units to ensure compliance with regulatory requirements
• Any ad hoc duties as assigned

Requirements:

• Degree holder in Laws, Finance or other related discipline
• 6 years’ relevant compliance experience in securities brokerage or asset management field
• Candidates with compliance exposure in SFC full licensed corp. is an advantage
• Good command of written and spoken and English and Chines including Putonghua

Attractive remuneration will be offered to the right candidate. Interested parties, please send your application letter with full resume including date available, present and expected salary to us.

Personal data collected would be used for recruitment purpose only.

Yuanta Securities (Hong Kong) Company Limited (“YSHK") is one of the largest Taiwan-funded brokerage firms in Hong Kong and is committed to provide comprehensive and superior services in the aspects of corporate finance, asset management and brokerage services to global and local institutional clients, corporate clients as well as individual investors. YSHK is a wholly owned subsidiary of Yuanta Financial Holdings Co., Ltd (“Yuanta Financial Holdings"), which is one of the top five financial holding companies in Taiwan. Its scale in securities, futures and asset management business has solidified a dominant position in the Taiwan market. As a leading financial firm with securities business as its focus, Yuanta Financial Holdings currently has a distribution network of 189 securities branches and 88 banking branches.

We are seeking high calibre candidates to achieve our goals and share the success together.