Scope of Work:
Manage the daily work of the Legal & Compliance Department;
Has a record of integrity and commitment to compliance, provide legal advice and compliance support to business units regarding the policies and procedures, operational manuals, financial products and business propositions
Ensure that all activities being strictly in compliance with all the legal and regulatory requirements of SFC, ensure that accurate and timely reports are submitted to the relevant authorities
D evelop, maintain and review written compliance policies, procedures and handbooks ;
C oordinate and develop training plans for AML/Compliance education ;
Handle regulators’ enquiries, on-site and off-site inspections, client complaints and matters in relation to license/registration with regulators (e.g. SFC, HKEx, etc) ;
Degree holder or above in Law, Business, Finance or related disciplines;
At least 5 years’ relevant experience in compliance with securities institutions;
Sound understanding of SFO, regulations and guidelines of relevant regulatory authorities/ Familiar with Company Ordinances, SFO and SFC rule;
M aintains knowledge of compliance issues and the relevant legislation, rules and standards;
E xcellent interpersonal skills, proficient in both spoken and written English and Chinese(fluent in Mandarin is a must);
Work experienced in Chinese securities firm preferred. Interested parties please send your full resume ( both of Chinese and English resume, Chinese resume must be attached ) with latest salary &expected salary to us.
All applications received will be used strictly for selection purposes only. Only shortlisted candidates will be notified.
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