Head of Legal and Compliance Head of Legal and Compliance …

Bo Le Associates Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Bo Le Associates Ltd
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Our client, a top securities company with SFC 1,2,4,6,9 license, over 300 employees and decades of history in Hong Kong, is looking for a senior manager of legal and compliance to join it's expanding team

Responsibilities:

  • Lead the Legal & Compliance Department to provide advice and support to all businesses and functions on licensing, compliance training, trade surveillance and handling of regulatory inquiries from internal and external regulatory parties;
  • Advise management and business units to establish and implement compliance policies, procedures and control systems
  • Comment, draft and review agreements 
  • Update relevant changes in regulations, industry
  • Liaise with external legal counsel and other professional parties.

Requirements:

  • Minimum 10 years’ relevant experience preferable in securities industry with at least 3 years managerial experience of leading a team of legal and compliance professionals;
  • Sound knowledge of the Securities and Futures Ordinance and its subsidiary rules, rules and guidelines of the Securities and Futures Commission, Insurance Authority and MPFA;
  • Self-motivated and pro-active team player with strong problem solving skills;
  • Excellent command of written and spoken English and Chinese, including Putonghua;
  • Responsible, strong self-motivation and personal integrity, with good communication, interpersonal, analytical, presentation and problem-solving skills;
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