Senior Compliance Officer/ Compliance Officer

About This Role

This compliance officer role is central to ensuring the company adheres to financial regulations and internal policies. It involves assisting with client onboarding, monitoring activities, and preparing compliance reports. The position suits a detail-oriented professional with experience in compliance, legal support, or risk management.

Responsibilities

• Assist with onboarding and due diligence of clients (review of KYC/AML/CRS/FATCA checklists and documents)
• Support periodic monitoring and review activities (clients monitoring, audit testing, compliance checking)
• Prepare and file routine compliance reports to management/parent company and ensure deadlines are met
• Coordinate staff compliance training logistics/deliver staff compliance training
• Assist in reviewing and developing internal policies and procedures to ensure compliance with related regulations
• Respond to routine compliance queries from internal stakeholders, regulators and escalate complex matters to senior staff
• Support continuous improvement initiatives for compliance processes and controls
• Provide general administrative support to Compliance team
• Perform ad-hoc assignments as required

Requirements

• Degree holder in Law, Finance, Business, Economics, Risk Management, or related field
• 2-3 years of relevant work experience in compliance, legal support, risk, audit, trustee or regulator
• Knowledge of Trust, AML, FATCA, CRS, MPF System
• Familiar with other statutory requirements (such as MPFSO, SFO, PDPO, AMLO)
• Strong attention to details and high level of integrity and confidentiality
• Good organizational and time-management skills, able to manage multiple tasks to deadlines
• Proficient in computer applications (e.g., Word, Excel) and Chinese word processing
• Good command of both spoken and written English and Chinese

Nice to have:

• Fluent in Mandarin