Legal Compliance Manager

Job level Middle
Work exp 3 Years To 5 Years
Education Bachelor Degree
Language English
Location N/A
Employment type Full Time
Industry Others
Job function Legal / Professional Services > Legal & Compliance
Legal / Professional Services > Others
Published On 28/11/2016
Salary (HKD) $40,000 - $50,000
ref. 035609

• Identify and evaluate compliance risks of the operations and business activities for Brokerage business and provide alternative and compliance solutions
• Provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates; review business processes and new initiatives to ensure compliance with regulatory requirements
• Partner with other Legal team on assessing and measuring compliance and related risks, and developing common standards and practices
• Conduct monitoring activities including desk reviews, thematic reviews and AML compliance review wherever appropriate for compliance with regulatory requirements
• Draft, revise, update and maintain compliance policies and manuals of the business units as necessary on ongoing basis
• Review, enhance and develop the compliance programs, procedures and guidelines for the business unit
• Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
• Deliver in-house compliance training to the business unit and provide advice to the management

• Degree holder in Law, Finance or other related disciplines
• 3-5 years’ relevant hands-on compliance experience in Brokerage business
• Good understanding of HK AML rules and SFO
• Good command of written and spoken English and Chinese including fluency in Putonghua
• Candidates with more experience will be considered as Senior Manager

Jo Cheung - 2627 5211