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Compliance OfficerFounder Securities (Hong Kong) Financial Holdings Limited
Compliance OfficerFounder Securities (Hong Kong) Financial Holdings Limited
Job Highlights
  • Handling SFC and external enquiries
  • Design& arrange training on regulatory requirement
  • Assist in reviewing all compliance procedures
Job Description


Job Descriptions:

  • Responsible for the company’s and representative’s license application, maintenance and reporting with SFC, CPT monitoring, ensure proper licensing with local regulators
  • Assist in reviewing all compliance procedures/policies for various departments, ensuring the compliance policies are properly developed, monitored & complied with relevant regulations and legislation in respect of the regulated activities
  • Promote compliance awareness across the businesses, design and arrange training on regulatory requirements, compliance policies and procedures to company staffs
  • Participate in the development & implementation of compliance controls included compliance checking, clearance of staff dealing, suspicious transaction reporting, maintenance of watch list/restricted list etc.
  • Handling SFC and external enquiries


  • University degree/qualifications in related discipline
  • 2 years’ compliance experience
  • Candidates with more experience will be considered as Senior Compliance Officer or Assistant Compliance Manager
  • Excellent knowledge of rules and regulations relating to securities and futures brokerage, corporate finance and asset management business
  • Able to identify problems and seek practical solutions
  • Solid awareness of controls and governance
  • Self-motivated, a team player and results orientated
  • Fluent in English and Mandarin



We offer attractive remuneration and benefits to the right candidates. Interested parties, please send your application with full resume stating your CURRENT and EXPECTED salary by email.


All applications will be treated in strict confidence and used exclusively for the employment purpose. Only short listed candidates will be invited for interview. The company will retain the applications for a maximum period of 6 months.

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

Founder Securities (HK) Financial Holdings is a wholly owned subsidiary of Founder Securities Company Limited. Listed on the Shanghai Stock Exchange (stock code: 601901), Founder Securities Company Limited is a well-established investment bank in China with business in equity & future brokerage, corporate finance and investment management.


Founder Securities (HK) Limited was established in Aug 2014 in Hong Kong. Amid our expansion of the business scope, we are also striving to develop a Greater China business network covering mainland China, Hong Kong and Taiwan.


To cope with our rapid business growth, we would like to invite high-caliber candidate who are enthusiastic, reliable, and having a strong sense of team spirit to fill the following positions: