Officer, Compliance

CASH Financial Services
Full Time
Junior (less than 3 years)

Job Description

Officer, Compliance

Location: Sheung Wan

As our Officer, Compliance, you are mainly responsible for the licensing administration and internal audit function within the Group. You will be acting as an independent and objective administrator to review the daily trading activities of the Group, including conducting KYC and AML due diligence procedures.

You will also be responsible for licensing applications of our licensed persons and monitoring of the conduct of regulated activities by our licensed persons. Your work will also cover the continuous development of our training programs to licensed persons.

You will gain exposure to the rules, regulations and codes of the regulators, including the Securities and Futures Commission, Hong Kong Confederation of Insurance Broker and the MPFA. Opportunities to deal with regulators and handle their enquiries are plenty. This is a very good opportunity for compliance officer to gain more exposure and to accelerate further to understand compliance industry in the financial market.  


  • University graduate in finance, legal or other business related disciplines;
  • 2 - 3 years solid licensing administration, risk control, compliance or legal experience in financial services, insurances or banking industry. Familiar with SFO will be an advantage;
  • Able to identify potential risk; provide valid recommendations and preventive measures with excellent written English;
  • Efficient with good time management;
  • Mature, Independent, self discipline, proactive, able to work under pressure with good interpersonal skill;
  • Immediate availability is highly preferred.

*Candidate with less experience will be considered as Trainee or Assistant Officer, Compliance.

Please apply in confidence with full resume, current and expected salary, quoting reference no. S/LCM/0916 to the Human Resources Department, CASH Financial Services Group Limited, 21/F., Low Block, Grand Millennium Plaza, 181 Queen's Road Central, Hong Kong or email to [email redacted, apply via Jobable].

The information provided will be used for selection purpose only. All information of unsuccessful applicants will be destroyed within six months.

Technical Skills

  • Anti Money Laundering (AML)
  • Compliance
  • Due Diligence
  • Internal Audit
  • Know Your Customer (KYC)