A reputable Financial Institute with full SFC license is looking for a Legal & Compliance Manager to join their team.
- Provide legal and compliance advice and solution to other business units;
- Formulate & review compliance related policies and procedures as well as develop operation manuals for RA1, 2, 4, 6, 9
- Provide regulatory advisory on securities, futures, mutual fund, bonds, 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
- Keep abreast on regulatory developments and advise management and departments accordingly
- Degree holder in Law, Business, Finance or related disciplines
- Over 5 years of legal and compliance experience in sizable financial institutions and/or regulatory bodies
- Familiar with Securities & Futures Ordinance, Company Ordinance and other regulatory requirements
- Good command of written and spoken English and Chinese
- Candidate with Legal background are welcomed