Legal & Compliance Manager, Reputable Financial Institute Legal & Compliance Manager, Reputable Financial  …

QHire Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 22 Feb 20
Competitive
QHire Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 22 Feb 20
Competitive
A reputable Financial Institute with full SFC license is looking for a Legal & Compliance Manager to join their team.

Responsibilities:

  • 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

 

Requirements:

  • 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
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