Compliance Officer


Business area:

  • Review and assess the risk in the Compliance area for the Company. Conduct compliance risk assessments and monitoring, report on findings, provide recommendations, and implement changes where appropriate.
  • Develop, implement and maintain Proper Standard Operating Procedures or policies for Compliance on various business lines.
  • Ensure compliance with the company’s standard contracts and other corporate policies.
  • Provide compliance guidance on trading and business initiatives.
  • Research on legal issues focusing on partnership, aviation, export control, data privacy and regulatory compliance issues.
  • Market conduct; ethical, regulatory and legal responsibilities of firms and their employees in relation to market conduct such as corruption, bribery and any other fraudulent behavior, and the consequences of breaching such
  • Monitor regulatory developments and communicate applicable details to relevant teams.
  • Research new rules and laws to ensure the firm implements a reasonable and effective compliance program.

Financial area:

  • The need to face potential investors is an essential aspect of securing financial support for a business.
  • Financial/Business crime; this covers Anti-money laundering, fraud, anti-bribery and corruption, sanctions, and tax evasion.

Information / Data Security area:

  • Information security: risks and consequences of information security breaches (i.e. China Data Security Law and the Data Cross-border Transfer Security Assessment, Sanction list consequences, etc.), how to mitigate and manage such risks & employee responsibilities.
  • Data protection (i.e. European GDPR, etc.); the legal and regulatory landscape, the risks associated with collecting, handling, storing, and transferring data & how the firm manages data security.

Personal area:

  • Operational risks: what is it, how is it managed and personal responsibilities.

Environment Social Governance area:

  • Lead the audit routinely on the compliance program to ensure the firm is meeting its responsibilities, including all participant reporting obligations.
  • Leads the ESG planning and reporting and prepares business contingency plan. Support in drafting and reviewing legal documents.
  • Lead Environmental Social Governance plan and support in identity Sustainable Business Model and responsible for ESG reporting.
  • Complete other ad hoc tasks or projects as assigned.


  • Bachelor’s degree in laws or equivalent
  • Minimum 5 years’ experience or above at a law firm or in an in-house practice or compliance department
  • Strong understanding of risk controls/monitoring and how they apply to HRT’s compliance program.
  • Experienced in the creation, development, and implementation of compliance policies and procedures for new trading initiatives.
  • Experienced in contract negotiations, writing, and drafting skills.
  • Excellent judgment and demonstrated discretion in handling confidential information.
  • Good command of both written and spoken English & Chinese
  • With aviation background and ESG planner certified is a plus

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