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2 週前發布

Assistant Director - Legal and Compliance

Manpower Services (Hong Kong) Limited

職位描述

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>)

其他細節

職位空缺來源
JobMarket
參考編號
2347613
發布日期
2025年11月24日
關鍵詞
Executive & Management, Professional & Legal Services, Full Time
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