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
• 15-20 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

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