Sanston Financial Group Limited 
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Junior Compliance Officer


  • Advise the Company on the internal and regulatory compliance issues relevant to the securities industry
  • Ensure the Company complies with all laws, rules & regulations of the regulatory authorities
  • Prepare and update Company Compliance Manuals
  • Prepare training materials and arrange briefing sessions
  • Review account opening documents
  • Liaising with external regulators (including all necessary notifications and disclosures to the SFC and HKEX)
  • Provide regular updates to Management and training to staff on changes in regulations and 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 and regulations applicable to the securities industry
  • Analytical, proactive, independent, strong analytical, problem solving, good interpersonal and communication skills
  • Good command of written and spoken English and Chinese (Mandarin & Cantonese)
  • Able to work independently with full responsibility and 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 and quote the above position and reference number as your email subject.

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