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Head Of Legal &Compliance (Chinese leading Securities) | HK Talent Engage
Published 2024-04-16 00:00:00
Job description
Responsibilities
- Responsible for the effectiveness of legal & compliance function
- Develop and implement policy and procedure to meet the internal compliance requirement and external regulatory requirements
- Provide legal and regulatory advices to management and business units on current and new business initiatives for mitigating compliance risks
- Draft, review and provide legal opinions on various legal documents and agreements
- Develop compliance programs and conduct regular compliance / AML reviews
- Design and conduct AML and other compliance related training
- Liaise with local regulators, government authorities and external legal counsel
Requirements
- Degree holder in Business Administration, Risk Management, Law or related disciplines
- 10-15 years of legal and compliance experience in securities
- Strong knowledge and experience of compliance framework design and implementation
- Strong communication and interpersonal skills
- Sound knowledge of relevant laws, rules, codes and guidelines issued by SFC and other regulatory authorities
- Strong interpersonal and communication skills to work with internal parties
- Excellent command of English and Chinese
Job particulars
- Job source
- eFinancialCareers
- Job reference
- 20813192
- Date published
- 16 Apr 2024
- Job keywords
- Fintech,Regulatory & Compliance ,Compliance/Legal,Compliance Regulatory