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SENIOR COMPLIANCE OFFICER (MIC) - SFC Type 1, 4 & 9 securities brokerage & asset management firm (Central)

Banking / Finance • Full Time • Central And Western District, Hong Kong, HK • 2d ago

Role Summary 職位概要

You will act as the Compliance MIC and key advisor on all regulatory and compliance matters across the firm’s research, asset management and corporate finance activities, reporting directly to the CEO, and you will be supported by an outsourced third‑party compliance firm.
你將擔任公司合規主管（MIC），並就公司研究、資產管理及企業融資業務之所有監管及合規事宜提供關鍵專業意見，直接向行政總裁匯報，並獲外判第三方合規顧問公司提供支援。
You will oversee the design, implementation and ongoing enhancement of the firm’s compliance framework, ensuring full adherence to SFC regulations and internal policies while supporting business growth in a practical and solutions‑oriented manner.
你將負責設計、推行及持續優化公司的合規框架，確保全面遵守證監會規定及公司內部政策，並以務實及解決問題為導向的方式配合業務發展。

About the Company 公司簡介

We are an investment and securities firm with a China background, headquartered in Hong Kong, with additional presence in major cities in Mainland China and other key Asian financial hubs.
本公司為一間具中國背景的投資及證券機構，總部設於香港，並在中國內地主要城市及其他亞洲金融樞紐設有據點。
We are a research‑driven investment firm focused on securities brokerage and asset management, serving institutional, corporate and high‑net‑worth clients.
本公司為以研究為主導的投資機構，專注於證券經紀及資產管理業務，並為機構客戶、企業客戶及高淨值客戶提供專業服務。
We are licensed and regulated by the Securities and Futures Commission in Hong Kong to conduct Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities.
本公司持有並受香港證券及期貨事務監察委員會監管之第1類（證券交易）、第4類（就證券提供意見）及第9類（資產管理）受規管活動牌照。
Our core businesses span securities brokerage, investment advisory and asset management, supported by a robust regulatory and risk management framework.
我們的核心業務涵蓋證券經紀、投資顧問及資產管理，並由完善的監管合規及風險管理框架所支持。
The firm focuses on opportunities in sectors such as new energy and innovative lifestyle‑related industries, offering research‑driven investment solutions to institutional, corporate and high‑net‑worth clients across Hong Kong, Mainland China and selected overseas markets.
公司專注於新能源及創新生活相關產業的投資機遇，為遍佈香港、中國內地及部分海外市場的機構、企業及高淨值客戶提供以研究為主導的投資方案。

Responsibilities 職責範疇

Act as the Compliance MIC of the Company and oversee overall regulatory compliance, reporting directly to the CEO.
擔任公司之合規主管（MIC），全面監察公司的監管合規事宜，並直接向行政總裁匯報。
Provide regulatory advice to research, asset management and corporate finance businesses, including managing conflicts of interest and interpreting applicable rules and regulations, with particular focus on Chinese walls, investment banking, asset management and research activities.
就研究、資產管理及企業融資業務提供監管合規意見，包括管理利益衝突及詮釋相關法規，特別關注資訊防火牆、投資銀行、資產管理及研究活動。
Deliver timely verbal and written compliance advice in relation to equities research, asset management and investment banking businesses.
就股票研究、資產管理及投資銀行業務提供及時的口頭及書面合規意見。
Review and clear research reports and daily market commentary, ensuring full compliance with regulatory requirements and internal standards.
審閱及批核研究報告及每日市場評論，確保完全符合監管要求及公司內部標準。
Maintain and update company compliance policies, manuals and internal control procedures in line with the latest regulatory requirements, and monitor adherence to these policies.
維持及更新公司的合規政策、手冊及內部監控程序，使之符合最新監管要求，並監察員工對相關政策的遵從情況。
Conduct regular compliance reviews on the company’s operations and systems and prepare compliance reports for management.
定期就公司營運及系統進行合規檢討，並為管理層準備合規報告。
Design and deliver regular compliance training (including CPT) to relevant staff.
為相關員工設計及提供定期合規培訓（包括持續專業培訓課程）。
Handle enquiries, inspections and correspondence from regulatory authorities such as the SFC.
處理來自監管機構（如證監會）的查詢、視察及往來文件。
Draft, review and comment on contracts and agreements from a compliance perspective.
從合規角度草擬、審閱及提供各類合約及協議之意見。
Ensure strict compliance with all regulatory requirements and internal guidelines.
確保嚴格遵守所有監管規定及公司內部指引。
Undertake other ad‑hoc compliance duties and projects as assigned.
履行其他臨時指派之合規工作及項目。
Work independently with no direct subordinates; but will be supported by outsourced compliance service provider.
能獨立工作，沒有直接下屬；但會獲外判合規服務供應商提供支援。

Ideal Candidate 理想人選

University degree holder; a degree in Law or related disciplines is a plus.
大學學位或以上，主修法律或相關學科者優先考慮。
Minimum 3 years of relevant compliance experience in a licensed securities firm handling Type 1, Type 4 and Type 9 regulated activities; experience in law firms or third‑party compliance service providers will also be considered.
最少三年於持牌券商從事第1類、第4類及第9類受規管活動之相關合規工作經驗；具有律師行或第三方合規服務機構工作經驗者亦會考慮。
Solid knowledge of the Hong Kong Stock Exchange rules, SFO and relevant SFC codes and guidelines.
熟悉香港交易所規則、《證券及期貨條例》及相關證監會守則與指引。
Strong understanding of research, asset management and investment banking products across Hong Kong, Mainland China and overseas markets.
對香港、中國內地及海外市場之研究、資產管理及投資銀行產品有深入了解。
Strong team player with excellent communication, problem‑solving skills and solid risk awareness.
具良好團隊合作精神，擁有出色溝通能力、解難技巧及良好風險意識。
Good command of English, Cantonese and Mandarin.
良好中英文、廣東話及普通話能力。

What Makes This Role Attractive 此職位的吸引之處

Direct exposure to senior management, reporting straight to the CEO with a clearly defined MIC role.
直接接觸高層管理層，直接向行政總裁匯報，並擔當職責清晰的 MIC 角色。
Support from an outsourced third‑party compliance firm, allowing you to focus on higher‑value advisory and oversight work.
獲得外判第三方合規顧問公司的專業支援，讓你更專注於高附加值的合規諮詢及監督工作。
Research‑driven platform with exposure to equities research, asset management and corporate finance across Hong Kong, Mainland China and overseas markets.
於以研究為主導的平台工作，接觸涵蓋香港、中國內地及海外市場的股票研究、資產管理及企業融資業務。
Stable platform with SFC Type 1, 4 & 9 licenses and a seasoned management team experienced in both Mainland China and international capital markets.
於持有證監會第1、4及9類牌照、管理層具備中國內地及國際資本市場豐富經驗的穩健平台發展事業。
Boutique‑size company with a flat reporting structure, ensuring your contributions have a clear and direct impact on the business.
精品規模及扁平匯報架構，讓你的貢獻能直接影響業務發展並獲得重視。
Friendly and supportive work culture, where staff are trusted with a free hand to perform and enjoy a healthy work‑life balance.
友善及具支援性的工作文化，給予員工充足自主權發揮所長，同時重視及提倡良好的工作與生活平衡。

TO APPLY for this job or similar jobs :

For secure and confidential job application, please click the below link to get our email address.

http://jpc.hk/confidential_apply.htm

JPC Recruiting Services was established in 1990 and is a Hong Kong–based recruitment firm providing general recruitment and executive search services.
JPC Recruiting Services 於 1990 年成立，是一家總部設於香港的專業招聘公司，提供招聘及獵頭服務。

All personal data collected from job applicants will be used strictly for recruitment purposes only. Your privacy is fully protected, and your personal information will not be disclosed, leased, or sold to any third party.
本公司所收集的求職者個人資料僅作招聘用途。閣下的私隱將獲得嚴格保障，個人資料絕不會被披露、出租或出售予任何第三方。

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