Assistant Director

5 days ago


Hong Kong Island, Hong Kong SAR China Manpower Services (Hong Kong) Limited Full time

Assistant Director - Legal and Compliance Add expected salary to your profile for insights Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements Advise on compliance issues and potential impact of regulatory trends and developments Provide practical compliance advice for business such as retail and institutional brokerage, global markets business Perform license applications, notifications, enquiries, surveys and maintain relevant records Perform trade surveillance and regular reviews to identify potential compliance or internal control issues Establish compliance monitoring programs and undertake investigations into any suspicious transactions reported Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews etc Review client documentations and marketing materials Conduct internal compliance trainings and maintain CPT records Provide compliance advice on new product development, systems and business initiatives relating to retail and institutional business Implement adequate compliance controls to ensure stakeholders and business unit comply with applicable rules and regulations Establish comprehensive compliance framework and update policies and procedures to ensure compliance with the regulatory requirements Undertake various ad hoc compliance projects and initiatives as required from time to time Requirements Degree holder in Business, Finance, Law or other related disciplines Minimum 8 years of legal and compliance experience in brokerage companies/regulators 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 #J-18808-Ljbffr



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