Senior Compliance Officer

Aden Financial Group Limited | Central and Western Distr., Hong Kong Island | HK
Job Summary

We are seeking a proactive Senior Compliance Officer to support our bond trading and fixed income business by managing regulatory compliance, responding to SFC inquiries, and mitigating compliance risks. The role involves close collaboration with the trading team and RO to ensure adherence to SFC requirements and internal policies.

Key Responsibilities

  • Identify and mitigate compliance risks in bond trading activities.

  • Act as the primary contact for handling and responding to SFC inquiries.

  • Develop, implement, and maintain compliance policies and procedures.

  • Provide regulatory guidance and training to the trading team.

  • Monitor transactions for compliance with SFC regulations, including AML/CFT and trade reporting requirements.

  • Support internal and external audits, ensuring timely resolution of compliance issues.

Qualifications

  • Bachelors degree in Law, Finance, Business Administration or related field.

  • 5+ years experience in compliance, with a strong focus on bond trading or fixed income.

  • In-depth knowledge of SFC regulations, including SFO, AML regulations, KYC procedures, FATCA, and CRS.

  • Strong problem-solving and communication skills, proficient in both written and spoken Chinese and English.

  • Have on-site inspection experience is highly preferred.


Information :

  • Company : Aden Financial Group Limited
  • Position : Senior Compliance Officer
  • Location : Central and Western Distr., Hong Kong Island
  • Country : HK
Next Process

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Post Date : 2025-06-13 | Expired Date : 2025-07-13

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