Responsibilities：

• Be responsible for the overall legal and compliance matters of the Company, acting as contact point with SFC, external legal and other regulatory authorities for all regulatory correspondences and application cases
• Monitor the implementation of Compliance manual, anti-money laundering guidelines and other compliance policies and procedures, identifies gaps and recommends corrective actions
• Review all types of legal documents and provide advice and guidance on relevant requirements while conducting business activities. Ensure all applicable laws, regulations and internal policies and procedures are strictly complied with
• Assess legal and compliance risks in new business initiatives, and provides advice on measures to appropriately address these legal and compliance risks
• Manage and keep tracking of CPD programs to comply with SFC requirements and offer internal training classes to the staff
• Conduct compliance training to relevant parties and to prepare, review and update the relevant training materials
• Perform ad hoc projects or any other duties as assigned from time to time

Requirements：

• Bachelor degree or above in Law, Accounting, Finance, Business or related discipline
• Minimum 8 years legal and compliance experience with at least 3 years at supervisory level
• Working experience in Chinese based Wealth Management / Asset Management companies is a Must
• Familiar with relevant laws and regulations in Financial and Insurance Industry
• Strong problem solving and communication skills with good command of written & spoken Chinese (Mandarin and Cantonese) and English
• Willing to take responsibilities and good decision maker with good communications & interpersonal skills
• Strong commitment to assigned duties, team spirit and can work under pressure