Leadership Solutions Limited

Senior Officer / Officer, Compliance

Leadership Solutions Limited
Salary negotiable
Posted on 20 Mar 2021

Senior Officer / Officer, Compliance

Leadership Solutions Limited

Job Highlights

  • H.K. Listed Financial Institution
  • Familiar with SFC & HKMA regulations
  • 3-5 years compliance experience

Job Description

Our client, a H.K. Listed financial institution, is inviting experienced professional to join the team. 


  • Identify any gap between internal policies and procedures and new regulatory requirements
  • Conduct regular compliance reviews in relation to securities trading /transactions
  • Handle enquiries from regulatory authorities or any investigations
  • Review and update Compliance Policies and Procedures to ensure adhere to applicable regulations
  • Perform AML/KYC/CDD review on account opening
  • Work with internal parties to facilitate regulatory examinations, questionnaires, surveys, investigations and other regulatory requirements
  • Provide advice on sale and marketing materials, products, training materials from compliance perspective
  • Prepare training materials to promote compliance awareness among the colleagues


  • Bachelor or above with major in Economics, Risk Management, Accounting, Finance, or related subject
  • 3-5 years experience in compliance in financial industry (Securities/Asset Management/ banks)
  • Well-verse in SFC /HKMA regulatory requirements
  • Analytical with attention to details
  • A team player, able to work independently and self-motivated
  • Good command of both written and spoken English and Chinese (including Mandarin)

Interested candidate(s) please send in your full resume, stating current and expected salary, and availability in Word Document format to us. 

It is the corporate policy of Leadership Solutions Limited to achieve full compliance with the obligations and requirements of the Personal Data (Privacy) Ordinance. The privacy policy and personal information collection statement can be found in our website. All information received will be kept in strict confidence and only for employment-related purposes.     

Additional Information

Career Level
Not Specified
Not Specified
Years of Experience
Not Specified
Job Type
Full Time, Permanent

Company Overview

Founded in Hong Kong since 2003 to serve businesses in Asia Pacific, including Greater China Region, Leadership Solutions offers a fully integrated suite of services in senior executive search and professional recruitment.

Additional Company Information

Benefits & Others
Five-day work week, Medical insurance