Our client, a SFC registered financial institution with Type 1, 4, 6 & 9 licenses, is looking for the right candidate for the following position:
Head of Legal & Compliance
jobsDB Ref. JHK100003004999759
Employer Ref. IN - HD OF L&C
- Build the legal & compliance function of the company with activities engaging in SFC RA Type 1, 4, 6 & 9.
- Develop proper controls, policies and procedures to ensure the Company complies with internal and external legal and regulatory requirements.
- Implement, review and update compliance programs, internal control policies, procedures and guidelines including KYC, AML and Chinese wall, etc.
- Draft/review legal documents relating to different business units and the holding company.
- Provide on-going advisory services to board of directors, management and business units on issues regarding compliance with companies ordinance, SFC regulations and banking ordinance, etc.
- Monitor and conduct regular compliance and risk reviews on business activities.
- Investigate escalated compliance issues, draft and review legal agreements and product documents.
- Develop and deliver appropriate training to staff and promote compliance awareness within the Company.
- Liaise with external vendors and regulatory bodies for enquiries, reporting, inspection or investigation.
- Degree holder in law.
- A HKSAR qualified lawyer with 8 years or more relevant experience in legal or compliance function in financial service industry or regulatory body, preferably gained from investment bank.
- Well versed with the SFC regulations, companies ordinance and other regulatory requirements in Hong Kong and the PRC.
- Strong communication and presentation skills to interact well with management and business managers.
- Self-motivated, highly independent with professional integrity. Good command of written and spoken English and Mandarin a must.
Please send your resume to irene.ng@ globalassociates.com and copy cv@globalassociates .com