Responsibilities:
• Provide practical legal and compliance advice support to front and middle back office
• Conduct legal research, analyze legal and compliance issues and advise on any workable resolutions
• Review and advise commercial contracts and documents
• Liaise and manage external legal consultants and counsels to manage any litigations cases
• Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes
• Support department head to oversee licensing related works and offer advice on licensing issues
• Support department head to conduct internal investigation and draft conclusion report
• Collaborate closely with internal stakeholders for implementation of compliance related projects
• Handle regulatory requests, inquiries and examinations in a proper and timely manner
• Perform ad-hoc assignments as assigned
Requirements:
• Bachelor Degree or above in Law or related disciplines
• Possess at least 10 years legal experience working in financial services industry with solid experience in handling complicated compliance issues
• Mature, self-initiative, detail oriented with good inter-personal skill and analytical mind
• Sound knowledge in rules and regulations administered by the SFC, market practices, financial products as well as securities business
• Self-motivated, able to work independently
• Conversant with MS Office applications and Chinese character input
• Proficiency in both written and spoken English and Chinese (including Putonghua)
Interested parties, please send me your resume to charlotte.mou@manpowergrc.hk