Assistant Legal & Compliance Manager
Tongfang Securities Limited
- Company Industries:Financial Services
Job Information
- Post Date:2020-03-23
- Career Level:Middle
- Location:Not Specified
- Yr(s) of Exp:1 years
- Qualification:Degree
- Salary:Salary negotiable
- Employment Type:Full Time
- Job Function:Legal & Compliance
Job Description
Responsibilities:
- Draft and review a broad range of legal documents, announcement, notice, board resolutions, shareholders resolutions and other company secretary documents;
- Assist in dealing with HKEX, SFC and other regulatory organizations for all compliance and licensing matters;
- Assist in handling legal and compliance matters and enquiries from both internal and external parties such as lawyers and auditors;
- Assist to draft, review policies & procedures and identify risk & compliance related issues
- Keep abreast on regulatory developments and advise management and departments accordingly:
- Perform ad-hoc assignments or projects as required.
Requirements:
- Degree holder or above in Law or relevant disciplines;
- Minimum 1-2 years’ relevant experience in financial institutions, experience in Chinese financial institutions is preferred;
- Well-versed with Hong Kong Laws, Securities and Futures Ordinance and HKEx regulations;
- Self-initiative, independent and willing to work under pressure;
- Native speaker in Mandarin, good command of spoken & written English & Chinese;
- Proficient in MS Office and Chinese Word Processing.
Company Info
The Company is a well-known state-owned high technology
group (the Group), carrying out SFC Type 1 (Dealing in Securities), Type 4 (Advising on Securities), Type 6 (Advising on Corporate Finance) and Type 9 (Asset
management) regulated activates. Relying on the Group’s diversified business portfolio, solid client base and extensive expertise in the high technology industry, we provide
integrated financial services to high-net-worth and institution clients and explore cross-business opportunities within the Group, especially ones related to the technology sector.
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