Assistant Compliance Officer

JOB SUMMARY

The appointed Assistant Compliance Officer will play a key role to ensure the companys operations and business transactions comply with the relevant regulations of the Securities and Futures Ordinance (SFO), while supporting the companys internal control and reporting functions across compliance and operational domains.

KEY RESPONSIBILITIES

• Assist in handling compliance matters including documentation, monitoring and review related to SFC Type 10 activities
• Assist in developing and implementing compliance policies, and contribute to internal control reviews, including data validation and process accuracy checks
• Support licensing issues and information requests from SFC and business units
• Assist in daily AML monitoring and perform KYC review of the clients
• Conduct regular compliance reviews and assist in maintaining records to support audits and reporting obligations
• Ensure the business operation of the company is fully complied with internal policies and relevant regulatory guidelines
• Liaise with external/internal parties on financial reporting, statutory audit, annual tax filings, and assist in preparing required documentation and reconciliations
• Assist in the preparation and verification of internal reports, management summaries, and periodic reviews that support both compliance and financial governance
• Support spreadsheet-based analysis and data entry related to financial and operational matters
• Assist in other assignments or ad hoc duties whenever necessary, including financial data consolidation and operational reporting

REQUIREMENTS

• Degree holder in Law, Accounting, Business Administration or related disciplines
• Good numerical, logical and analytical mindset; proficiency in Microsoft Excel and familiarity with reporting tools will be an advantage
• Responsible, detail-oriented, able to multitask, work independently under pressure and well-organized with good communication skills
• Experience in document handling, reconciliation or reporting in regulated industries is preferred
• Proficiency in both written and spoken English and Chinese (both Putonghua and Cantonese)
• Candidates with less experience will be considered as Compliance Assistant

We offer successful candidate(s) an attractive remuneration package and excellent career prospects.

Information :

• Company : China Chengxin (Asia Pacific) Credit Ratings Company Limited
• Position : Assistant Compliance Officer
• Location : Hong Kong
• Country : HK