Head Of Legal &Compliance (Chinese leading Securities)

Links International

  • 香港
  • 長期
  • 全職
  • 16天前
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
  • 10-15 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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