Senior Vice President - Legal and Compliance

Responsibilities

• Perform license applications, notifications, enquiries, complaints, surveys and maintain relevant records
• Perform transaction monitoring, trade surveillance, name screening and undertake investigations into any suspicious transactions reported
• Establish compliance monitoring programs and conduct regular reviews including staff dealing activities to identify potential compliance or internal control issues
• Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews for retail and institutional client
• Advise on compliance with FATCA and CRS reporting matters
• Review marketing materials, client documentations and notices
• Conduct internal compliance trainings and maintain CPT records
• Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements
• Undertake various ad hoc compliance projects and initiatives as required from time to time
• Provide administrative support to the legal & compliance department by maintaining regulatory documentation, coordinating compliance activities, and ensuring accurate record-keeping to support regulatory adherence and reporting requirements

Requirements

• Degree holder in Business, Finance, Law or other related disciplines
• 4-6 years of legal and compliance experience in brokerage companies/regulator
• Proficiency in written and spoken English, Cantonese, and Putonghua is a must
• Excellent communication and presentation skills
• Proactive working attitude and a team player
• Responsible and able to work under pressure
• Immediately available is preferred