The position will be responsible for providing strategic counsel:
Transactional matters such as capital markets transactions,
Provide legal and compliance advice and support to the senior management and different
business units such as Securities Brokerage, Corporate Finance and Asset Management etc.;
Formulating management policies
Reviewing and drafting business contracts
Advising on the effectiveness of core operational controls etc.
You will oversee the overall compliance monitoring and KYC function of the company, and
act as the MIC of the Compliance Department
Advise on compliance aspects relating to securities, corporate finance, licensing and related matters.
Ensure all activities in the company are in compliance with Securities & Futures Ordinance by assessing impact of regulatory changes and advise on updating compliance policies and procedures in accordance with the relevant laws, guidelines and regulatory requirements, stay up to date on any regulatory changes, and ensure that any business is compliant with existing/new regulations.
Monitor the dealing and trading activities in the securities markets and perform trade
Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements.