Our client is a well-established PRC Financial Group with SFC licensed type 1, 4, 6, 9 business. To cope with the rapid business expansion, she is now inviting high caliber candidate to join the team.
Responsibilities:
- Report to the CEO directly
- Oversee and manage the functions of Compliance, Legal & Risk
- Responsible for developing and enhancing compliance control policies, procedures, programes and monitoring their effective implementation;
- Monitor compliance review and ad hoc examination for securities brokerage, corporate finance and asset management.
- Maintain highest level of compliance standards
- Handle ad hoc projects and drafting and preparing reports and submissions
- Liaise with regulators, internal and external regulators as required
- Ensure all enquiries, complaints and investigations and licensing works are handled properly
Requirements:
- Degree holder in Law, Finance, Accounting or related disciplines
- Qualified Lawyer of Hong Kong
- Over 12 years’ relevant experience in Compliance team in PRC base securities firm / financial institutions
- Well versed with the SFO and other relevant codes and regulations as well as rules and regulations of Type 1, 4,6, 9
- Proficiency in both spoken and written English, Cantonese and Mandarin
- Excellent communication, analytical and problem solving skill
*** Pls send CV to canwie.chan@levin.hk for application or contact us at 2520 0064 for more infor
Negotiable
12 years
Degree holder
West Kowloon
Enquiry: (852) 2520 0064
To apply for this job, please send your CV to canwie.chan@levin.hk