Report to the Legal Counsel, you evaluate the risk of the business activities including securities brokerage and asset management in Hong Kong. You collaborate with business stakeholders on the development and implementation of compliance initiatives for ensuring the compliance of the applicable regulations. You provide advisory support to managements and business heads on regulatory matters, also you handle licensing issues and enquires from SFC. Furthermore, you actively review the operation procedures, make recommendations and provide training to the internal peers upon the needs of the change of regulations.
Tertiary educated, preferably majoring in Law. A minimum 8 years' solid experience in both securities and asset management business in Hong Kong. Well versed in Listing rules and various licensing requirements. An ability of working autonomously. Excellent command of English, Cantonese and Putonghua will be essential to the role.