Legal & Compliance Officer

2 days ago


Hong Kong, Central and Western District, Hong Kong SAR China SinoPac Securities (Asia) Limited Full time
  • Report to Legal & Compliance Manager and Head of Legal & Compliance
  • Provide compliance advice and solution to management and departments
  • Develop, draft and review a broad range of business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other documentations
  • Formulate and review general compliance manual, AML and other internal policies and procedures
  • Keep abreast on regulatory developments and advise management and departments accordingly
  • Monitor the Company's operation and employee dealing, and perform compliance and AML checking to ensure compliance with rules and regulations, and internal policies and procedures
  • Handle head office's enquiry and reporting requirements and prepare ad hoc reports at the request of management
  • Coordinate with other departments on legal, compliance and company secretarial matters
  • Liaise with government bodies and handle regulators' enquiry, notification requirement, reporting, inspection and investigation
  • Work with external lawyers and other professional advisers and deal with auditors
  • Promote compliance awareness in the Company
  • Handle and maintain statutory records, licence applications, client complaints, CPT records etc.
  • Perform ad-hoc assignments

REQUIREMENTS

  • Degree holder in Law, Accounting, Business Administration or other related disciplines
  • 2 years' relevant experience
  • Familiar with securities laws and regulations, SFC rules and regulations, Exchange Rules, Listing Rules and Companies Ordinance
  • Good command in both spoken and written English and Chinese (including Mandarin)
  • No experience will be also be considered.
Seniority level

Associate

Employment type

Full-time

Job function

Legal

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