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Associate, ComplianceShanxi Securities International Financial Holdings Limited
Associate, ComplianceShanxi Securities International Financial Holdings Limited
Job Highlights
  • Edu in Finance, Business Admin, Laws
  • Min. 3 years of Compliance experience
  • Solid exp in SFC license application, CPT
Job Description


  • Provide support to the Legal and Compliance Department from licensing application, compliance training organizing to implementation of control policies
  • Review licensing applications, coordinate with regulatory bodies for queries handling
  • Implement compliance-related policies, e.g. staff dealing policy, by monitoring staff dealing and processing corresponding approvals
  • Liaise internally and externally for organizing compliance training in accordance with the requirements of regulators
  • Handle ad-hoc projects as necessary



  • Bachelor’s degree or above in Business Administration, Finance, Laws or other relevant disciplines
  • Minimum 3 years of relevant Compliance experience in banks or financial institutions
  • Hands-on experience in SFC licensing processing; Solid experience working with regulatory bodies
  • Sound knowledge in CPT, compliance policies in Securities house and staff’s code of conducts


We offer competitive remuneration packages to the right candidate. Interested parties please submit your resume to Human Resources Department (1). by post to Unit A, 29/F., Tower 1, Admiralty Centre, 18 Harcourt Road, Admiralty, Hong Kong; or (2). by using "Apply Now" button. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only.

Additional Information
Years of Experience
3 years
Employment Type
Contract, Full Time
Five-day work week, Medical insurance, Performance bonus
Company details

We are a wholly owned subsidiary of SHANXI SECURITIES CO LTD ("Shanxi Securities" Stock Code: 002500.SZ) and a fast growing international financial institution incorporated in Hong Kong since 2006. We provide securities brokerage, futures contracts trading, asset management and investment banking services to global corporates, institutional clients and retail clients. We are looking for committed, dedicated and high-caliber financial professionals.