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Sophie Link is the world’s niche staffing firm, providing skilled professionals in the fields of accounting and finance, with a special focus on corporate finance. We have consulting and staffing professionals worldwide. Sophie Link adopted the concept of perfect match staffing services. We offer...

Sophie Link is the world’s niche staffing firm, providing skilled professionals in the fields of accounting and finance, with a special focus on corporate finance.

We have consulting and staffing professionals worldwide. Sophie Link adopted the concept of perfect match staffing services. We offer a full spectrum of specialized and nice staffing and consulting solutions. We engage consultants working in finance industry having full access to industry knowledge and the capacity of each of the candidates. Having close and harmonious relationship with both companies and candidates, we make “perfect match” possible.

For more information, please visit www.sophielink.com.hk

Head of Legal and Compliance

Job level Senior
Work exp 8 Years To 15 Years or above
Location
Hong Kong Island
Employment type
Industry Financial Services
Job function Banking / Finance > Legal / Compliance
Published On 07/07/2018

Responsibilities

* Responsible for ensuring the group meets its regulatory requirements

* Maintain good relationships with, and act as main contact for, all interactions with the SFC

 * To provide timely and pragmatic regulatory advice to senior management, including on the development of new products and business initiatives, and changes to regulatory rules and developments.

 * Development and maintenance of a positive compliance culture through communication and monitoring regulatory responsibilities at all levels.

 * Design and implement an effective compliance monitoring programme

 

Requirements

* Minimum of 8-10 years' experience in the Compliance or Legal functions of an asset management company, a legal / consulting firm specialising in financial services or from the SFC or an equivalent regulator.

 * Possess a good knowledge of SFC rules and regulations, especially related to the management of SFC regulated and registered collective investment schemes, together with a working knowledge of other jurisdictions in the Asia ex-Japan region.

 * Possess up to date knowledge of industry best compliance / regulatory practice, together with relevant fund management, dealing and distribution practices and procedures.