Centaline Securities Limited is a financial services firm in Hong Kong, providing a wide range of investment and brokerage services to our clients. We are committed to maintaining the highest standards of regulatory compliance and integrity in all our operations.

We are seeking a diligent and detail-oriented Junior Compliance Officer to join our compliance team. The successful candidate will support the compliance function to ensure that our operations adhere to all relevant laws, regulations, and internal policies.

Key Responsibilities:
Assist in ensuring the firm's compliance with local and international securities regulations, including SFC (Securities and Futures Commission) requirements;
Conduct regular monitoring and surveillance activities to identify potential compliance issues. Prepare and submit regulatory reports as required;
Assist in the development, implementation, and maintenance of compliance policies and procedures;
Support the delivery of compliance training programs to staff, ensuring awareness and understanding of regulatory requirements and internal policies;
Participate in risk assessments and audits to identify areas of potential compliance risk and recommend improvements;
Maintain accurate and up-to-date records of all compliance activities, including investigations, audits, and training sessions;
Assist in the investigation and resolution of compliance incidents and breaches;
Act as a point of contact for regulatory bodies and external auditors as required.

Requirements:
Bachelor's degree in Law, Finance, Accounting, Business Administration, or a related field;
1-2 years of experience in a compliance, legal, or regulatory role, preferably within the securities or financial services industry. Fresh graduates with relevant internship experience may also be considered;
Understanding of Hong Kong securities regulations and familiarity with the SFC guidelines;
Excellent communication and interpersonal skills;
Ability to work independently and as part of a team.

Why Join Us:
Career Development: ** Opportunities for professional growth and development within the company;
Dynamic Environment: ** Work in a fast-paced and collaborative environment;
Competitive Package: ** Attractive salary and benefits.
We offer attractive remuneration package to the right candidate. Interested candidates are invited to submit their resume and cover letter detailing their qualifications and experience to us.
All applications received will be treated in strict confidence and solely for recruitment purpose.

助理合規專員
中原證券有限公司是一家位於香港的金融服務公司,為我們的客戶提供廣泛的投資和經紀服務。我們致力於在所有運營中保持最高的合規標準和誠信。
我們正在尋找一位勤奮且注重細節的初級合規專員加入我們的合規團隊。成功的候選人將支持合規職能,以確保我們的運營符合所有相關法律、法規和內部政策。

主要職責:
協助確保公司遵守本地和國際證券法規,包括證監會(證券及期貨事務監察委員會)的要求;
進行定期監控和監察活動,識別潛在的合規問題。根據需要準備和提交法規報告;
協助開發、實施和維護合規政策和程序;
支持向員工提供合規培訓計劃,確保了解和理解法規要求和內部政策;
參與風險評估和審計,識別潛在的合規風險並提出改進建議;
保持所有合規活動的準確和最新記錄,包括調查、審計和培訓會話;
協助調查和解決合規事件和違規行為;
根據需要,作為與監管機構和外部審計員的聯絡點。

要求:
法律、金融、會計、工商管理或相關領域的學士學位;
1-2年合規、法律或監管角色的工作經驗,最好是在證券或金融服務行業。具有相關實習經驗的應屆畢業生也可以考慮;
了解香港證券法規和熟悉證監會指引;
優秀的溝通和人際交往能力;
能夠獨立工作並能夠團隊合作。

為什麼加入我們:
職業發展:在公司內部有專業成長和發展的機會;
動態環境:在快節奏和合作的環境中工作;
有競爭力的待遇: 有吸引力的薪資和福利。
有興趣的候選人請將簡歷和求職信發送給我們,並詳述其資格和經驗。
(申請人所提供之個人資料絕對保密及只供招聘用途。)

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

Full-time