Experience

ComplianceOne Consulting Limited

• Hong Kong
• Financial Services
• 1 - 100 Employee

• Recruitment Manager

  • May 2021 - Present

  Established in April 2017, ComplianceOne Consulting Limited (“ComplianceOne”) provides comprehensive consulting services in regulatory compliance to various financial services companies.Within merely four years of time, our Team has accumulated numerous successful cases of SFC license applications – Type 1 (Dealing in securities), Type 2 (Dealing in futures contracts), Type 4 (Advising on securities), Type 5 (Advising on futures contracts) and Type 9 (Asset Management) regulated activities; and applications for trading rights of SEHK and HKFE.ComplianceOne is also a licensed recruitment agency in Hong Kong. We specialize in searching professionals in the areas of front, middle and back office for corporations licensed under the SFC. Our clients include brokerage firms and asset management companies from Hong Kong and from mainland China. At ComplianceOne, we are committed to providing the most suitable and comprehensive consulting services to our clients to enable them to obtain the SFC licence in a timely and efficient manner. Our major clients include the individual investors and corporations from Mainland China and Hong Kong. Show less

• Partner

  • Apr 2017 - Apr 2022