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Junior Compliance Officer


  • Advise the Company on the internal & regulatory compliance issues relevant to the securities industry
  • Ensure the Company complies with all laws, rules & regulations of the regulatory authorities
  • Prepare & update Company Compliance Manuals
  • Prepare training materials & arrange briefing sessions
  • Review account opening documents
  • Liaising with external regulators (including all necessary notifications & disclosures to the SFC & HKEX)
  • Provide regular updates to Management & training to staff on changes in regulations & procedures
  • Perform reviews on internal control system, operational procedures & related policies
  • Review of legal documents
  • Attend to ad hoc compliance or legal issues


  • Diploma in Law, Finance, Accounting or related discipline
  • Experience in stock broking / financial services will be an advantage
  • Experience interpreting the rules & regulations applicable to the securities industry
  • Analytical, proactive, independent, strong analytical, problem solving, good interpersonal & communication skills
  • Good command of written & spoken English & Chinese (Mandarin & Cantonese)
  • Able to work independently with full responsibility & initiative in a pressured environment
  • Fresh graduates looking for a career in financial industry are also welcome to apply

Interested candidates please send your detailed resume with your expected salary to hr@sanston.com & quote the above position & reference number as your email subject.

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