Our Client is a Global Brokerage & Asset Management companies with focus on Institution client and high net worth clients, collectively called professional investors. The market will cover Hong Kong, China and global markets with services in placement, dealing and fund management. This role will...

Our Client is a Global Brokerage & Asset Management companies with focus on Institution client and high net worth clients, collectively called professional investors. The market will cover Hong Kong, China and global markets with services in placement, dealing and fund management. This role will be actively participating in the start-up project of the firm with a focus in legal and compliance function.

 

Legal & Compliance Manager

Job level Senior
Work exp 6 Years To 10 Years
Education Bachelor Degree
Language Chinese - Cantonese, Chinese - Mandarin, English
Location Hong Kong Island, Central
Employment type Full Time
Benefits 13-month pay, 5-day week, Competitive pay, Dental plan, Discretionary bonus, Insurance plan, MPF
Industry Financial Services
Job function Legal / Professional Services > Legal & Compliance
Published On 18/11/2016
ref. BY

 

Our Client is a Global Brokerage & Asset Management companies with focus on Institution client and high net worth clients, collectively called professional investors. The market will cover Hong Kong, China and global markets with services in placement, dealing and fund management. This role will be actively participating in the start-up project of the firm with a focus in legal and compliance function.

Responsibilities:      

  • To set up the compliance requirements for the firm
  • To draft legal and compliance documents
  • To assist the RO in preparing the operational procedures and manuals
  • To communicate with SFC in on-going matters in relation to the license
  • To actively participate in the start-up project in relation to legal and compliance functions of SFC Type 1, 4 and 9 Regulated Activities

 

Requirements:

  • Degree in Law, Accounting or Holder of relevant professional qualifications
  • At least 5 years’ experience in a securities firm targeting at institutional investors in global markets
  • Excellent knowledge in AML, KYC, FATCA, risk management and contingency plan
  • Solid experience in communicating with SFC
  • Proficiency in spoken and written English, Cantonese and Mandarin

 

Interested parties please send your CV to Ms Beryl Yip via beryl.yip@agsgroup.com.hk