Job Description
Job responsibilities
- monitor all business activities to ensure fulfil the regulatory compliance requirement
- identify and evaluate the risks of operations in compliance aspects
- Act as MIC of compliance and AML, manager AML related projects
- Develop, maintain and review legal & compliance framework to ensure the company fulfil the SFC's requirement
- Review & draft for agreements, contracts and disclosure documents
- Liaise with external legal counsel on legal works when necessary
- Participate in Ad hoc project
- Bachelor degree in Law or related discipline, PCLL is preferable
- Minimum 5 years' relevant experience in financial industry, experience in securities brokerage firm is preferred
- Sound knowledge of applicable law, rules and codes and working knowledge of securities and futures products
- Good command of written and spoken English and Chinese (Cantonese and Putonghua)
Click "Apply Now" to apply for this position or call Sophia Liang at +852 3180 4960 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.
