Compliance Officer/Senior Compliance officer - Financial Advisory Compliance Officer/Senior Compliance officer -  …

in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Compliance Officer/Senior Compliance officer - Financial Advisory
Deloitte China
Deloitte China's professionals provide a full range of audit & assurance, consulting, financial advisory, risk management and tax services. We connect with the Deloitte Global network to provide clients of any size with local experience and international expertise. As one of the leading professional services providers, we have considerable experience in this marketplace.

The Deloitte purpose is about making an impact that matters to our clients, people and society. Our extensive spectrum of services enables us to help our clients become leaders wherever they choose to compete. We are committed to investing in our people and empowering them to achieve more than they can elsewhere. Our advice is only as valuable as our actions and integrity. We believe that by strengthening our clients and society, we become stronger ourselves.

To learn more about how Deloitte makes an impact that matters in China, connect with the Deloitte China social media platforms at

Financial Advisory (FA) practice of Deloitte China provides strategic and financial advisory services to clients throughout all phases of the economic cycle. FA comprises several distinct but related global service lines whose shared principal objective is the creation and enhancement of shareholder and stakeholder value.

Work you'll do:
  • Act as a Manager-in-Charge of the Compliance function under the SFC Manager-in-Charge regime.
  • Monitor staff dealing activities of our personnel in according to staff dealing policy of the firm.
  • Set out policies to ensure compliance of firm's compliance manual and all applicable rules and policies such as SFO, AMLO and Takeover Codes.
  • Consult and communicate with enforcement bodies on compliance and related matters.
  • Draft and review of our policy and documentation in light of legislative and regulatory updates, and business needs.
  • Handle consultation on compliance matters.
  • Prepare and handle license applications, relevant filings, notifications to SFC, etc.
  • Assist in providing relevant training.
  • Other compliance duties as assigned.

  • Degree holder in Law/Accountancy/Finance or related disciplines.
  • Minimum 8 years' legal or compliance experience in corporate finance or financial institutions.
  • Strong knowledge of applicable law, rules, regulations and codes.
  • Excellent command of spoken and written English and Chinese (including both Cantonese & Mandarin).
  • Result-oriented and excellent commitment to work.
  • Strong analytical and communication skills; able to work both independently as a leader and as a team player.
  • Able to provide clear, reliable and practical advice and solutions pitched at a level suitable for busy practitioners.
  • Proficiency in Microsoft Word, Excel, PowerPoint, etc.

Deloitte China refers to Deloitte Touche Tohmatsu in Hong Kong, Deloitte Touche Tohmatsu in Macau, Deloitte Touche Tohmatsu Certified Public Accountants LLP in the Chinese Mainland and their respective affiliates practising in Hong Kong, Macau and the Chinese Mainland.

Requisition code: CN172690

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