758 Quality Administrator jobs in Hong Kong

Job duties:

• Assist in Audit workflow procedure, including client code and engagement code creation, engagement register updating
• Data processing in engagement monitoring system
• Assist in documentation filing to regulatory in various jurisdictions
• Assist in maintaining and conducting archiving procedures in a regular basis
• Assist in addressing queries raised by the engagement teams in relation to system management
• Perform any ad hoc tasks assigned by supervisors
• Work closely with other departments to perform necessary duties

Requirements:

• Diploma or above
• Relevant experience in a sizable CPA firm is an advantage
• A good and effective team player
• Good communication skills in both English and Chinese, including Mandarin
• Strong analytical, problem solving and project management skills
• Proficient in using computer Microsoft office or equivalent office management application
• The candidate must exhibit independence motivation and a desire to uphold the quality of the practice

Benefits :

• Competitive Remuneration Package
• Discretionary Performance Bonus
• Exam/Study Leave
• Birthday Leave
• Menstruation Leave
• Group Medical
• Clear Career Path
• On-job Training

Job Summary

We are seeking a proactive Compliance Officer / Senior Compliance Officer to support our bond trading and fixed income business by managing regulatory compliance, responding to SFC inquiries, and mitigating compliance risks. The role involves close collaboration with the trading team and RO to ensure adherence to SFC requirements and internal policies.

Key Responsibilities

• Identify and mitigate compliance risks in bond trading activities.
• Act as the secondary contact for handling and responding to SFC inquiries.
• Conduct comprehensive KYC and CDD for new clients, as well as periodic CDD reviews for existing clients.
• Develop, implement, and maintain compliance policies and procedures.
• Provide regulatory guidance and training to the trading team.
• Monitor transactions for compliance with SFC regulations, including AML/CFT and trade reporting requirements.
• Support internal and external audits, ensuring timely resolution of compliance issues.
• Staying up-to-date with changes in regulations and industry best practices.

Qualifications

• Bachelor's degree in Law, Finance, Accounting, Business Administration or related field.
• 3+ years' experience in compliance role.
• In-depth knowledge of SFC regulations, including SFO, AML regulations, KYC procedures, FATCA, and CRS.
• Strong problem-solving and communication skills, proficient in both written and spoken Chinese and English.
• Have on-site inspection experience is highly preferred.
• Applicant with more experience can apply as Senior Compliance Officer.

About the role

This full-time Compliance Officer role at Waton Securities International Limited is located in the Tsim Sha Tsui Yau Tsim Mong District. You will play a key role in ensuring the organisation's compliance with relevant banking and financial services regulations and internal policies.

What you'll be doing

1. Monitoring and reviewing the organisation's compliance with relevant laws, regulations and internal policies
2. Identifying and assessing compliance risks, and working with stakeholders to implement appropriate controls and mitigations
3. Conducting compliance audits and investigations, and reporting findings to senior management
4. Providing guidance and training to employees on compliance requirements
5. Staying up-to-date with changes in regulations and industry best practices
6. Collaborating with other departments to ensure a consistent and effective compliance framework

What we're looking for

1. Relevant tertiary qualification in law, finance or a related field
2. At least 5 years of experience in a compliance or risk management role within the banking or financial services industry
3. Strong knowledge of compliance regulations and best practices in the banking and financial services sector
4. Excellent analytical and problem-solving skills to identify and address compliance issues
5. Effective communication and interpersonal skills to liaise with stakeholders at all levels
6. Ability to work independently and as part of a team

About us

Waton Securities International Limited is a leading financial services firm in Hong Kong, providing a range of wealth management, and securities trading services to clients worldwide. With a strong commitment to ethical practices and client satisfaction, we have built a reputation for excellence in the industry.

If you are interested in this exciting opportunity, please apply now.

About the job

Cregis is a Web3 solution platform, specializing in crypto asset management tools and solutions since 2017. We've served over 3,200 clients, including exchanges, blockchain projects, and crypto funds, with a daily on-chain transaction flow exceeding $30 million.

Job Responsibilities:

• Contract Review and Management:
  Review and manage various company contracts, ensuring compliance with Hong Kong laws and regulations, as well as industry standards, to protect the company's legal interests and mitigate compliance risks.
• Policy Development and Implementation:
  Draft, revise, and implement business policies in accordance with the company's strategic objectives and regulatory requirements, ensuring they align with compliance standards and reflect best practices in the industry.
• License Application Preparation:
  Prepare and draft documents related to compliance license applications, ensuring the accuracy and compliance of application materials, and assist relevant departments in successfully obtaining and renewing licenses.
• Industry Compliance Research:
  Regularly track, research, and analyze compliance trends and regulatory changes in the financial industry, both locally and internationally, identify potential compliance risks, and provide recommendations to management.
• Internal Training and Communication:
  Conduct compliance training and awareness programs to enhance the overall compliance culture within the organization, ensuring all employees understand and adhere to compliance policies.
• Compliance Monitoring and Reporting:
  Monitor the company's compliance status, regularly report on compliance risk situations to management, propose improvement suggestions, and foster a strong compliance culture.

Qualifications:

• Educational Background:
  Bachelor's degree or higher in Law, Finance, Compliance, or a related field.
• Work Experience:
  3-5 years of relevant compliance experience, preferably within the traditional finance or payment sectors.
• Professional Knowledge:
  Familiarity with Hong Kong and international financial laws and regulations; knowledge of cryptocurrency and related business compliance is a plus.
• Analytical Skills:
  Strong policy analysis, risk assessment, and problem-solving abilities, capable of making informed decisions in a complex compliance environment.
• Communication Skills:
  Excellent written and verbal communication skills, able to collaborate effectively with employees at all levels to drive compliance initiatives.
• Language Proficiency:
  Fluent in both written and spoken English and Chinese; proficiency in Cantonese is preferred.

Preferred Qualifications:

• Relevant compliance management or auditing certifications (e.g., CAMS, CISA).
• Experience in project management, with the ability to coordinate resources across multiple areas to advance compliance projects.

Responsibilities:

• Review and analyze all service agreements and provider agreements to ensure compliance with internal policies, regulatory requirements, and industry standards.
• Leverage finance/accounting knowledge, with a focus on tax issues, to identify and address potential compliance risks in financial transactions and reporting.
• Perform KYC checks and ongoing monitoring to verify client identities, assess risks, and maintain accurate records.
• Assist in the application process for relevant licenses and regulatory approvals, coordinating with internal teams and external authorities as needed.
• Arrange and organize compliance documentation for internal audits,  external testing, and regulatory inspections, ensuring all materials are up-to-date and readily accessible.
• Stay abreast of evolving regulations and advise on best practices to support business operations.
• Perform ad hoc tasks as assigned

Requirements:

• Bachelor's degree in Law or a related discipline (e.g., Finance, Business Administration with a legal focus).
• Minimum 3 years of solid experience in compliance roles, preferably within financial institutions or regulated industries.
• Strong knowledge of finance/accounting principles, particularly tax-related issues, is highly desirable.
• A quick learner who is self-motivated with a strong sense of responsibility.
• Willing to learn, detail-minded, well-organized, with excellent communication skills and the ability to multi-task independently.
• Good interpersonal skills and a proven team player, capable of building relationships across departments.
• Proficiency in Microsoft Office Suite and compliance management software
• Excellent command of English (written and verbal); additional languages are advantageous.

We offer rewarding career with attractive remuneration package including 5-days week, Bonus, Medical scheme, Study sponsorship scheme to the right candidates.

Free shuttle bus is provided by the management office between Kwun Tong office and Lam Tin MTR station in every 5 mins.

Interested candidates should send FULL RESUME with Current & Expected salary by clicking "Apply now".

All information provided by applicants will be treated in strictly confidential and used only for recruitment purposes.

Job Description

• Execute comprehensive internal control measures and operational procedures to enhance the effectiveness of risk mitigation;
• Contribute to the development of workflows for corporate Enterprise Resource Planning system;
• Identify and analyze risks associated with new business development;
• Assist in creating procedure manuals for operations;
• Support the preparation of internal audits;
• Review risk control procedures to ensure compliance with the latest regulatory requirements;
• Handle ad hoc projects as assigned.

Job Requirements

• Degree holder in Finance and Risk Management;
• At least 2-3 years of experience in internal control, with strong report writing and data analysis skills required. Experience in the oil industry is a plus;
• Strong business acumen and good team player;
• Good command of Chinese, English and Mandarin;
• Proficient in PowerPoint, Excel, and tools for presenting findings and recommendations;
• Independent and mature, with excellent presentation and communication skills, able to work under pressure;
• Immediate availability or short notice is preferred.

We offer competitive remuneration packages and good career prospects to the right candidate.  Interested parties please send detailed resume with expected salary by "Quick Apply". Personal data collected will be used for recruitment purpose only.

Job Description

• Provide operational support in performing compliance functions and statutory requirements of IA and SFC to ensure full compliance with regulatory and internal control requirements;
• Handle statutory reporting and inquiries from regulatory bodies and conduct related investigations;
• Conduct daily AML monitoring and perform KYC review of the clients;
• Perform compliance reviews including transactions monitoring and monitoring of employee activities;
• Ensure the business operation of the company is fully complied with the internal policies and rules and regulations of the regulatory institutions;
• Responsible for license renewal and applications;
• Undertake other duties as from time to time necessary to assist Chief Compliance Officer.

Requirement

• Degree Holder related in compliance, law, corporate governance or related disciplines
• 2-5 year of relevant work experiences
• Knowledge in Anti-Money Laundering and Counter-Terrorist Financing Ordinance, Securities and Futures Ordinance and related regulatory requirements is definitely an advantage
• Strong sense of responsibility, detail-minded, able to work independently and under pressure
• A good team player with effective communication and interpersonal skills
• Good command of written and spoken English and Chinese including Putonghua

Responsibilities:

• Assist the Head of Compliance in formulating and maintaining Compliance policies and procedures
• Study the new regulations or consultation papers issued by regulatory bodies, and assist in monitoring the progress of the implementation of the regulatory requirements
• Advise business and supporting units on compliance issues
• Prepare compliance reports for management review
• Perform ad hoc tasks as assigned from time to time

Requirements:

• Degree holder
• Those candidates with experience in regulatory compliance is preferred
• Holder of applicable Enhanced Competency Framework Certifications (e.g. ACOP) is preferred
• Good command in both spoken and written English
• Self-motivated, good communication and interpersonal skills

(Candidates with less experience will be considered as Assistant Compliance Officer)

Benefits

1. 5-day work
2. Year-end Bonus
3. Employee Insurance Benefits

Application Method:

By E-mail

E-mail address:

Whatsapp :

Personal data collected will be treated in the strictest confidence in accordance with our Personal Information Collection Statement and Privacy Policy and will be handled by authorized personnel of Public Bank (Hong Kong) Limited, the holding company of Public Finance Limited, for recruitment-related purposes only. All applications will be kept for a maximum period of one year as may be considered for future or other suitable positions within Public Finance Limited and its associated companies. For details, please visit the Company's website 

My client, a leading fintech company in Hong Kong, is seeking a talented and experienced Type 9 Executive Officer to oversee their asset management operations.

Responsibilities

• • Oversee regulatory activities related to SFC Type 9 licensed services.
• Lead the execution of portfolio management and investment strategies for discretionary mandates, including strategy formulation, asset allocation, and performance monitoring.
• Conduct comprehensive market research, analyzing macro and microeconomic trends, industry data, and key market indicators to produce detailed investment analysis reports.
• Utilize research insights to create diverse investment strategies for model portfolios and asset allocation decisions.
• Ensure the successful implementation of model portfolios, with a focus on portfolio risk management, trade execution, and adherence to internal compliance procedures.
• Propose and implement initiatives in portfolio management while ensuring strong internal controls for reporting, compliance, and risk mitigation.

Job Requirements:

• • Cantonese is Mandatory
• Fintech background is preferrerd
• Background in banking, securities, asset management, or fund management is ideal.
• 3- 8 years of asset management experience
• Preference for candidates with a Type 9 license; current EO or RO are encouraged to apply.
• Experience in portfolio management and discretionary services is essential for candidates without regulatory status.
• Strong understanding of financial markets, investment strategies, and regulatory frameworks.
• Proficient in financial modeling and data analysis tools (e.g., Excel, Bloomberg).