Head of Legal and Compliance - Financial Firm
Job Reference No.: 65930
Job Title: Head of Legal and Compliance - Financial Firm
Our client is a leading Chinese brokerage firm with headquarter in Beijing and listed in the Shanghai Exchange. They provide top-notch service on wealth management, investment consultation and other financial products. To cope with their rapid expansion of business in Hong Kong, they are hiring top talents for various departments, including the role of Head of Legal and Compliance.
- Liable for the overall legal and compliance matters of the Company while be in charge a team of compliance and legal staff, act as contact point with SFC, external legal and other authorities for all regulatory correspondences and application cases
- Act as Manager-In-Charge of Compliance under SFC regulations, handle all licensed activities, including but not exclusive to trade surveillance, disclosure of interest, AML, KYC, staff dealing etc.
- Oversee the implementation of Compliance manual, anti-money laundering regulations and other compliance policies and procedures, identifies holes and provide corrective actions
- Analyse legal documents and recommend relevant actions to meet requirements while conducting business activities. Make sure all applicable laws and regulations along with internal policies are compiled to the highest standard.
- Evaluate legal and compliance risks in new business initiatives, and suggests measures to properly address these legal and compliance risks
- Maintain and track CPT programs to make sure the SFC requirements are met with high standard and provide internal training for staff
- Complete Ad-hoc duties as assigned
- Bachelor Degree in Law, Accounting, Finance, Business or any other related disciplines
- Qualified HKSAR lawyer is essential
- Minimum 10 years of experience in compliance field with at least 3 years at the supervisory level.
- Familiar with laws and regulations in the financial industry in Hong Kong and China
- Work experience in regulatory authorities is highly preferred while experience in asset management, law firms or listed companies is a plus
- Good command in both spoken and written English, Cantonese and Mandarin
- Good team player with excellent communication and interpersonal skills
- Proficient in MS Office automation
- Solid decision maker with strong commitment to assigned task
To apply please click on the "Apply" button or contact Steven Sin at Steven.Sin@jobs.hudson.com quoting ref no. 65930. Your interest will be treated in strict confidence.