Haitong International Securities Group Limited (“Haitong International”:Stock Code: 665.HK) is a subsidiary of Haitong Securities Co., Ltd. (“Haitong Securities” Stock Code: 600837.SH; 6837.HK), one of the leading securities companies in China.
Haitong International is well-established to provide comprehensive and quality corporate finance, brokerage and margin financing, investment management, fixed income, currency and commodities as well as leveraged and acquisition financing and equity derivative products and services to institutional clients and individual investors domestically and around the globe. As one of the most important overseas business platform of Haitong Securities, the Group strives to be a modern and comprehensive financial institution with leading position in the Greater China Region.
The Company is led by a team of passionate and energetic professionals, we regard our staff the most treasurable asset and have been providing the best nurture and career prospect to any talents. We now invite high calibre candidates to join us.
Legal & Compliance Manager
jobsDB Ref. JHK100003004996184
Employer Ref. JDB/IB/LCPM
The Job :
Identify and evaluate regulatory and AML/CFT risks of the operations and business activities for the Company
- Provide day-to-day legal and regulatory advice and guidance on rules and internal policies and its latest updates, ensure the business units in compliance with the laws, rules and regulations
- Review business processes, enhance and develop the compliance programs, procedures and guidelines to ensure compliance with regulatory requirements
- Conduct monitoring activities including desk reviews and thematic reviews wherever approriate
- Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
- Deliver in-house compliance training to business units and provide advice to the management
- Perform other ad hoc duties as assigned
Degree holder of Law, Finance or other related disciplines
- At least 5 years of legal and/or compliance experience in Securities and/or Wealth Management business is required
- Sound knowledge in financial industry and wealth management
- Familiar with HK AML rules, SFO & insurance related ordinance
- Able to work independently and communicate effectively with internal and external parties
- Good command of written and spoken English and Chinese including Putonghua
We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to Human Resources Department i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2840 5233 or iii) by using "APPLY NOW".
Please quote the reference in the application. If application is submitted in hard copy format, it should be placed in a sealed envelope marked “Confidential”. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only. A copy of our Personal Information Collection Statement will be available upon request.