Legal and Compliance, Manager/ Assistant Manager 合規經理/助理合規經理

Key Responsibilities

• Review and negotiate various kinds of legal documents, contracts and agreements, develop and update guidelines for legal documents review
• Provide legal advice and support to all business units within the financial institution and the group as well as providing broad legal advice to management in order to protect interests of the group and to minimize legal risks
• Ensure the company’s business and operations are following various regulatory requirements, laws and regulations
• Formulate, review and update internal compliance policies and procedures
• Perform periodic compliance review and checking to ensure all activities in the company are in compliance with Securities & Futures Ordinance.
• Provide AML and compliance-related training
• Handle licensing related matters, CPT activities and dealing with regulatory bodies
• Liaise with relevant regulatory authorities and external parties
• Assist in ad-hoc projects as assigned

Requirements 

• Degree holder in Law, Business Law or related disciplines.
• At least 3 years’ experience in compliance or legal document management; 
• Exposure in financial institutions with relevant compliance experience is highly preferable;
• Familiar with asset management agreement or fund documentations is preferable.
• Familiar with the Securities and Futures Ordinance, SFC rules and regulations and knowledge.
• Good team player with excellent communication and interpersonal skills;
• Excellent command of written and spoken English and Chinese, fluency in Putonghua is a must;
• Proficient with Microsoft Office application including Word and Excel
• Both English and Chinese Resumes are required