RESPONSIBILITIES

• Report to Legal & Compliance Manager and Head of Legal & Compliance
• Provide compliance advice and solution to management and departments
• Develop, draft and review a broad range of business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other documentations
• Formulate and review general compliance manual, AML and other internal policies and procedures
• Keep abreast on regulatory developments and advise management and departments accordingly
• Monitor the Company’s operation and employee dealing, and perform compliance and AML checking to ensure compliance with rules and regulations, and internal policies and procedures
• Handle head office’s enquiry and reporting requirements and prepare ad hoc reports at the request of management
• Coordinate with other departments on legal, compliance and company secretarial matters
• Liaise with government bodies and handle regulators’ enquiry, notification requirement, reporting, inspection and investigation
• Work with external lawyers and other professional advisers and deal with auditors
• Promote compliance awareness in the Company
• Handle and maintain statutory records, licence applications, client complaints, CPT records etc.
• Perform ad-hoc assignments

REQUIREMENTS

• Degree holder in Law, Accounting, Business Administration or other related disciplines
• 2 years’ relevant experience
• Familiar with securities laws and regulations, SFC rules and regulations, Exchange Rules, Listing Rules and Companies Ordinance
• Good command in both spoken and written English and Chinese (including Mandarin)
• No experience will be also be considered.

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