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Legal and Compliance Manager
7 days ago
Responsibilities:
- Able to independently manage and handle general compliance work, including but not limit to manage general licensing (licensed representatives, responsible officers, MIC, annual return, BRMQ and use of WINGS etc.) and on-going notification matters;
- Able to independently manage and provide compliance advice on AML and regulatory compliance related assignment and issues, e.g. handle institutional risk assessments, CDD requirements, STR, selling process etc.;
- Able to take lead on keeping the firm abreast of regulatory development and conduct gap analysis if necessary;
- Able to draft and review internal policies and to provide day to day advisory support regarding adherence on the same;
- Provide support on preparing various management reports;
- Handle such other tasks as assigned from time to time.
Requirements:
- Bachelor's Degree holder or above in Business Administration, Accounting, Finance, Risk Management, Law or related disciplines (Candidate from other disciplines may be considered if practical experience is possessed);
- With at least 3 years of experience in areas related to compliance, company secretarial or internal control functions (exposure to asset management business is preferred);
- Good knowledge of compliance, AML and local regulations;
- With knowledge and practical experience on company secretarial matters such as Hong Kong and offshore companies;
- Good report writing in particular in Chinese, analytical and interpersonal skills;
- Responsible, proactive, detailed-mind, good self-disciplined and well-organized with good communication skills;
- Able to work under pressure and good team player;
- Good computer literacy i.e. Word, Excel, PPT, etc.;
- Good command in written and spoken English and Chinese including Putonghua.
Please click "Apply Now" to submit your application with CV attached stating both the existing and expected salary. Personal data collected will be used for recruitment purposes only.
