Compliance Officer - Principal International (Asia) Limited

A newly established Wealth Advisory Company, subsidiary of Principal International (Asia) Limited, is now looking for high calibre candidates to fill the following positions. If you are aggressive, motivated and are looking for a challenging and rewarding career, don' t miss this opportunity to work and excel with a team of professional financial services expert.

  • University graduate, preferably in Accounting, Finance, Law or related disciplines; or finalist of recognized professional accounting examination such as ACCA or HKICPA; or finalist of Institute of Hong Kong Chartered Secretaries
  • Minimum 5 years of auditing or compliance experience in financial services industry (e.g. banking, securities or asset management)
  • Well-versed with SFC and MPF regulations and are familiar with financial services and products such as mutual funds and retirement products
  • Strong analytical and drafting writing skills
  • Self-motivated, well-organized and able to work under pressure and tight deadlines
  • Strong interpersonal & communication skills including spoken & written English and Chinese, Mandarin is a plus

  • Handle day-to-day compliance function/activities and put in place control measures and procedures to ensure the new IFA Company is in compliance with applicable statutory/regulatory requirements
  • Liaise with member companies' legal counsels, external counsels, regulators, product providers or other external parties to deal with compliance matters
  • Perform operational audits at regular intervals to evaluate the effectiveness and efficiency of the current operations and controls
  • Provide updates to business units on amendments to the legislations

Excellent benefits including 5-day work week, group medical & life insurance, birthday leave and comprehensive training. Please send full resume and salary expectation to Principal International (Asia) Limited, Unit 1001-3, Central Plaza, 18 Harbour Road, Wanchai, Hong Kong. Attn: Human Resources Manager or email to :

We are an equal opportunity employer and welcome applications from all qualified candidates. Applicants not invited for interview after 8 weeks may consider their applications filed for future opportunity. All information received will be kept in strict confidence and only for recruitment related purposes.