返回
1 周前发布

Assistant Director - Legal and Compliance

Manpower Services (Hong Kong) Limited

职位描述

Responsibilities:

    • Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements
    • Advise on compliance issues and potential impact of regulatory trends and developments
    • Provide practical compliance advice for business such as retail and institutional brokerage, global markets business
    • Perform license applications, notifications, enquiries, surveys and maintain relevant records
    • Perform trade surveillance and regular reviews to identify potential compliance or internal control issues
    • Establish compliance monitoring programs and undertake investigations into any suspicious transactions reported
    • Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews etc
    • Review client documentations and marketing materials
    • Conduct internal compliance trainings and maintain CPT records
    • Provide compliance advice on new product development, systems and business initiatives relating to retail and institutional business
    • Implement adequate compliance controls to ensure stakeholders and business unit comply with applicable rules and regulations
    • Establish comprehensive compliance framework and update policies and procedures to ensure compliance with the regulatory requirements
    • Undertake various ad hoc compliance projects and initiatives as required from time to time

Requirements:

  • Degree holder in Business, Finance, Law or other related disciplines
  • Minimum 8 years of legal and compliance experience in brokerage companies/regulators
  • Proficiency in written and spoken English, Cantonese, and Putonghua is a must
  • Excellent communication and presentation skills
  • Proactive working attitude and a team player
  • Responsible and able to work under pressure
  • Immediately available is preferred

Whatsapp : [852 -93193692](<tel:852 -93193692>)

其他细节

职位空缺来源
JobMarket
参考编号
2347887
发布日期
2025年11月26日
关键词
Executive & Management, Professional & Legal Services, Full Time
为方便用户，人才服务办公室网站提供由其他网站整合的职位空缺信息及相关链接。本網站对这些网站提供的内容不负有任何责任。
返回
返回
立即申请
立即申请