Our client, a financial services corporation, principally engaged in various types of securities brokerage businesses. They are looking for a legal & compliance professional to join their team.

Legal & Compliance Manager 

Responsibilities:

• Provide legal and compliance advice and solution to other business units;
• Formulate and review compliance related policies and procedures as well as develop operation manuals for RA 1, 4, 6, 9
• Provide day-to-day legal and regulatory advice and guidance on bonds, debts, funds, securities, structured products, etc.
• Perform proper internal control to ensure the company is compliant with regulations
• Liaise with internal and external parties for all legal and compliance related matters
• In charge of licensing, regulatory filings, CPT record updates and all necessary reporting to regulators
• Keep abreast on regulatory developments and provide advice to management and departments accordingly
• Draft, revise, update and maintain compliance policies and manuals of the business units as necessary on ongoing basis
• Acting as contact point with SFC and other regulatory institutions
• Other assignments as required from time to time

Requirements:

• Degree holder in Law, Business, Finance or related disciplines
• 3-5 years relevant legal and compliance experience in financial institutions and/or regulatory institutions
• Familiar with Securities & Futures Ordinance, Company Ordinance and other regulatory requirements
• Proficient in both spoken and written English, Cantonese and Putonghua
• Self-starter, detail-minded and willing to take challenge
• Candidate with Legal background is preferred

Only shortlisted candidates will be notified. All information collected will be treated in strict confidential and solely used for the purposes of recruitment.  Applicants who are not contacted within 6 months should consider their applications unsuccessful.