RECOLO | BFI Recolo Executive Search is a leading talent acquisition consultancy firm simply provides one of the best recruitment services throughout the APAC region. We service the world’s leading financial institutions, global high-tech conglomerates, and many Fortune 500 multinational corporations....
RECOLO | BFI
Recolo Executive Search is a leading talent acquisition consultancy firm simply provides one of the best recruitment services throughout the APAC region. We service the world’s leading financial institutions, global high-tech conglomerates, and many Fortune 500 multinational corporations.
Recolo | BFI is the Banking, Finance and Investment sectors, consultancy arm of Recolo Executive Search. This team is highly specialised in providing solutions from strategic regional C-Suite roles to specialist niche roles within these sectors.
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Head of Legal & Compliance
Leading Regional Financial Services Group, classical Type 1, 4, 6, and 9, is seeking a commercially minded Head of Legal and Compliance, guide and direct the team, to help drive our growing businesses in Hong Kong and China.
- Be responsible for advising the management on legal issues, undertaking legal research, drafting and reviewing documentations for a wide range of legal and regulatory matters.
- Provide legal advice and support to management and staff by ensuring that commercially oriented, pragmatic and practical legal advice and solutions are provided in an effective manner.
- Manage all contentious matters including without limitation actual and potential litigations and enquiries/investigation initiated by regulators etc, conduct all necessary researches and liaise with external counsels, with instructions to advise and act on legal matters.
- Actively ensure compliance with applicable laws, regulations and company policies
- Ensure compliance with Hong Kong Listing Rules and provide professional advice to the Management on the rules and compliance issues
- Be responsible for overseeing and supporting compliance with regulatory requirements and with internal compliance policies and procedures.
- Disseminate compliance-related information and publication to all relevant staff or departments.
- Assess compliance risks in new business initiatives, such as new products including Asset Management business and ordinary brokerage business, new sales practice, marketing events etc., and provides advice on measures to appropriately address these compliance risks.
- Monitor the implementation of anti-money laundering guidelines and other compliance policies and procedures, identifies gaps and recommends corrective actions.
- Coordinate with regulators and other law enforcement bodies in their investigations by maintaining active dialogues with the regulators and promptly providing information as requested.
- University degree and Hong Kong admitted solicitor
- Over 15 years in relevant experience with over 5 years as department head in financial service industry
- Preferably knowledge of company secretarial matters (ideally qualified)
- Familiar with Company Ordinance, listing rules and Securities & Futures Ordinance and other relevant regulatory guidelines.
- Strong ability to critically analyze and resolve legal and operational issues
- Excellent communication, listening, interpersonal and influencing skills
- Self-motivated and pro-active team player with strong problem solving skills
- Commercial awareness and good business sense
- Excellent spoken and written in English, Chinese and Mandarin
Thank you for your interest with Recolo Careers. For your application to reach directly to our consultant responsible for this job openings please apply via our careers portal below for a quick reply.
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