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Legal and Compliance Officer/Manager
- Boutique Securities Firm
- Good Exposure
About Our Client
The Client is a holding group with securities, investment and asset management businesses. They are a long-established firm that has been in Hong Kong for over 20 years.
- To develop and review internal compliance program;
- Review policies, procedures and guidelines from both legal and compliance perspectives;
- Handle inquiries from regulators and external parties, eg. SFC.;
- To handle licensing matters, notification, annual return, survey and other ad hoc reports as required by the regulators;
- Act as sole Legal point of contact for all contract review, agreement drafting and ad hoc legal tasks
The Successful Applicant
- Degree holder in Law or related disciplines;
- At least 5 years' relevant legal and compliance experience;
- Sound knowledge of regulatory codes and regulations;
- Fluent in English and Chinese (Cantonese and Mandarin).
What's on Offer
Excellent benefits, guaranteed double-pay as well as flexibility to grow the business!