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Compliance OfficerCompany Confidential
  • Central
  • Salary provided
  • Posted on 08 Nov 2019
Compliance OfficerCompany Confidential

Job Highlights

  • Handle a full spectrum of compliance duties
  • Type 1, 2, 4, 6 & 9 regulated activities
  • Assist in identifying key compliance risks

Job Description


if routine work is not your choice;
if you thrive on challenge;
if you are desire to learn in financial sector;
if you’re seeking colleagues who have ambitions in leading the market


“Achieve success in Innovation.
WE, the client’s new experience generator!”

We’ve been awarded “Outstanding Fintech Securities Firm”.

We provide our staff with professional training as well as plenty of development opportunities. We have a professional IT team supports our fintech leading position in the market. We are not only innovate, we also support and share technology with industry peers. 


  • Handle a full spectrum of compliance duties for Freeman Securities Limited and its affiliated companies, in relation to Type 1, 2, 4, 6 and 9 regulated activities and other financial services;
  • Act as main point of contact with regulators, legal counsels and consultants and handle inquiries and information requests from regulatory bodies and auditors, e.g. SFC and HKEX
  • Assist in conducting regular compliance checks and AML checking; and monitor policies’ implementation with regards to updated regulatory requirements;
  • Assist in identifying key compliance risks and weaknesses and recommend enhanced procedures to improve operational efficiency and control;
  • Engage in ad-hoc research and project development work in relation to new and innovative financial services;
  • Handle client complaints and perform necessary investigation;
  • Assist in drafting and reviewing agreements and other relevant documents;
  • Assist in delivering compliance training to staff and licensed sales force;
  • Assist in formulating/updating policies and procedures to ensure compliance of business with relevant rules and regulations;
  • Track regulatory guidelines/circulars and coordinate with internal stakeholders on implementation plans.



  • Bachelor’s degree in Law, Corporate Governance, Finance or Accounting or other related disciplines from a recognized university;
  • At least 1 year of experience in compliance preferably with a licensed corporation (e.g. asset management firm) with SFC Types 1, 4, & 9 licenses; fresh graduates will also be considered;
  • Sound knowledge of SFO and other relevant codes and regulations from various regulators e.g. SFC, HKEX, Companies Registry, IRD, etc.;
  • Solid experience in AML, fintech, finance, data privacy, legal, compliance and/or the relevant fields would be a plus;
  • Strong command of both written and spoken English and Chinese is a MUST;
  • Proficiency in Microsoft Excel and Word, including the ability to produce neatly presented work
  • Detail-oriented and highly motivated mindset;
  • Strong organizational skills and ability to multi-task and prioritize workload.

 Candidates with more relevant experience will be considered for the Senior Compliance Officer post.


We offer competitive remuneration package to the right candidate.

For more details, please visit our website at

Interested applicant should apply with detailed resume (Chinese and English) and expected salary by clicking "Apply Now".

(All information collected will be used for recruitment purpose only)

Interested candidates, please contact us at 39286962 for company details before applying.

Additional Information

Career Level
Years of Experience
1 year
Employment Type
Full Time
Job Functions

Company Overview

民眾證券有限公司 (“民眾證券”), 為民眾金融科技控股有限公司 (股份代號: 279) 之全資附屬公司。民眾證券及其聯營公司,提供香港及環球證券經紀、香港及環球期貨經紀、孖展融資、企業融資及資產管理等服務。

民眾證券是申港證券股份有限公司 (「申港證券」) 最大股東之一。申港證券是首家根據《內地與香港關於建立更緊密經貿關係的安排》(「CEPA」) 框架下,在上海自由貿易試驗區設立的全牌照合營證券公司。

Freeman Securities Limited (“FSL”) is a wholly-owned subsidiary of Freeman FinTech Corporation Limited (Stock Code: 279). FSL and the associated companies are principally engaged in the financial services sector, including the provision of securities and futures brokerage services, margin financing, corporate financing and assets management.  

FSL is one of the major shareholders of Shengang Securities Co., Ltd. (“Shengang Securities”). Shengang Securities is the first full-licensed joint venture securities company set up in the Shanghai Pilot Free Trade Zone under the framework of the Closer Economic Partnership Arrangement between Mainland China and Hong Kong (“CEPA”).

Additional Company Information

Benefits & Others
Five-day work week, Medical insurance