Hooray Securities Limited


Hooray Group is a Hong Kong-based financial group providing securities trading, securities margin financing, corporate finance advisory and securities underwriting. Our affiliate is one of the leading full-fledged financial companies in the PRC. To cope with our dedication in compliance, we have the following opening:


Senior Officer - compliance

Report directly to our Head of Compliance and Finance, you will assist in all variety of compliance matters including AML review, KYC and account openings, staff trading, FRR compliance and other applicable regulatory and licensing functions.


    Principal Responsibilities:

  • Monitoring and testing the adequacy of the firm’s compliance control environment and assist to develop policies and controls;

  • Assisting in AML review and KYC review on new clients in response to the ever-revising laws and regulations;

  • Assisting in performing risk reviews, remediation of plans, and assisting in projects to ensure a compliant outcome;

  • Assisting in handling regulators enquires;

  • Assisting in undertaking investigations into any suspicious transactions reported internally and also by clients;

  • Assist in maintaining and updating internal policies and procedures;

  • Handling company secretarial works, company documents and licensing matters; and

  • Assisting in supporting other compliance related matters.



  • Degree holder in laws, accounting, company secretary or other related disciplines;

  • Minimum 2 year’s related experience in handling legal, compliance and / or licensing matters, with regulated entity;

  • Good knowledge in the SFO and the relevant rules and regulations, and have a strong logical sense in relation to AML review and KYC issues;

  • Willing to learn and self-motivated with good organizing, communication and presentation skills; and

  • Excellent command of written and spoken English and Chinese.


    If you are seeking a dynamic environment in which to build your career in regulatory compliance, please send applications to  All applications will be treated in the strictest confidence.  Personal data collected will be used for recruitment purposes only.