Compliance Officer

Key Responsibilities:

• provide compliance advice and guidance to different businesses and functions, including sales, investment, operations and risk teams, on regulatory requirements applicable to SFC Type 1, 4 and 9 licensed entity
• design and implement processes to satisfy SFC regulatory requirements and expectations
• draft, review and maintain compliance policies and procedures of the group subsidiaries, including the SFC licensed entity and licensed money lending entities
• conduct periodic compliance and regulatory review, and gap analysis
• support AML compliance officer and MLRO in AML/ CFT matters
• review and approve marketing materials and client communications
• handle regulatory filings, notifications and responses to regulatory enquiries
• maintain restricted securities list and provide advice on related compliance matters
• provide and administer compliance trainings, promote compliance culture

Requirements:

• Bachelor’s degree in Finance, Law, Business Administration, or a related discipline
• Minimum 5 years’ experience in regulatory compliance within an SFC-licensed corporation, licensed bank, regulatory advisory firm, or regulator
• Strong knowledge of SFC requirements, including SFO, Code of Conduct, FMCC and AML regulations; familiarity with the Money Lenders Ordinance is an advantage
• Analytical, proactive, and detail-oriented, with strong judgment and the ability to think independently
• Collaborative team player with a high level of integrity and professional accountability
• Strong communication skills, with fluency in English and preferably Chinese (written and spoken)
• Demonstrates alignment with our Values and Behaviours

Our Values and Behaviors:

• Inspired – Continuously raise the bar and motivate others to deliver impact
• Agile – Open-minded and adaptable to new ideas and change
• Teamwork – Collaborative, accountable, and respectful of diverse perspectives

As a company focused on discovering and creating value, we believe that our people are our most important assets. We strive to create a flexible, pleasant, and cooperative working environment where everyone can excel. We understand that work and the workplace are changing and we are proactively adapting as well: from our unlimited leave policy to flexible remote working choices, we want to make Sun Hung Kai & Co. a place where people feel empowered and inspired.

Sun Hung Kai & Co is an Equal Opportunity Employer and welcome applications from all qualified candidates. We evaluate qualified applicants without regards to gender, race, colour, nationality, religion, sexual orientation or disability and other status protected by law. We respect and seek to empower each individual and support diverse cultures, perspectives, skills and experience within our workforce to foster an inclusive work environment. All applications will be treated in the strictest confidence. Personal data provided will be used for recruitment purposes only.

All applications will be treated in the strictest confidence. Personal data provided will be used for recruitment purposes only.

Under the Personal Data (Privacy) Ordinance, you may request access to, and / or correction of your personal data in relation to your application. If you wish to do so, please email to hr@shkco.com.