We are a well-established financial institution which carries out Type 1, Type 6 and Type 4  & 9 regulated activities.  We are looking for high caliber candidates to join our team to meet with our business growth.

Responsibilities:

• Handle a full range of statutory compliance and corporate governance matters;
• Draft and review business contracts, agreements and other documentations;
• Formulate, review & update compliance related policies, procedures and manuals as well as develop operation manuals for RA 1, 4, 6, 9;
• Validate and maintain policies of the compliance requirements for the Group including licensed corporations;
  
• Provide compliance advice to senior management and business units of the Group on business operations;
• Cooperate with ROs to ensure operation in compliance with regulatory requirements as well as the Company's internal policies and procedures;
• Revise operational procedures, manuals and other relevant forms and documents;
• Liaise with internal and external parties such as company secretary, lawyers, auditors, regulators and the exchanges as an on-going basis;
• Handle licensing issues and information requests from SFC and other business units;
• Perform routine compliance reviewing and monitoring;
• Participate in various ad hoc projects when required.

Requirements:

• Degree in Law, Accounting or Holder of relevant professional qualifications;
• At least 5 years’ experience in handling Type 1, 4, 6 and 9 regulated activities in licensed Corporations and/or bank;
• Solid experience in communicating with regulators such as SFC and HKEx;
• Sound knowledge of relevant compliance rules including FATCA, CRS, AML, KYC, and related regulatory requirements issued by regulators;
• Strong analytical, problem solving, presentation and communication skills;
• Proficiency in spoken and written English, Cantonese and Mandarin;
• Candidates with Less experience may be considered as Legal & Compliance Officer.

We offer attractive remuneration package to the right applicants. Interested parties, please send full resume with current and expected salary and availability by clicking "Apply Now".

Personal data collected will be treated in strict confidential and used for recruitment purpose only.