Legal & Compliance Manager Legal & Compliance Manager …

Delta Asia Financial Group
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive remuneration and fringe benefits
Delta Asia Financial Group
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive remuneration and fringe benefits
Delta Asia Financial Group is a comprehensive financial institution with 85 years of history, comprising Retail Banking, Commercial Banking, Wealth Management and General Insurance across Hong Kong, Macau, and Guangzhou. It is reputable for its Corporate Governance, Caring and the Pursuit of Excellence. We are committed to pay Top Reward to the Right People.

 

Responsibilities

  • Ensure the business operations being strictly in compliance with regulatory requirements
  • Assist in formulating control procedures and compliance programs to cope with ongoing changes in laws, regulations and business needs regarding the regulated activities
  • Liaise with regulators e.g. SFC, IA, HKFI, HKEx, Customs and Excise, etc. on handling licensing matter
  • Assist in company secretarial duties for the Group companies and support the Board of Directors in discharging the Board responsibilities
  • Draft and update the compliance policies and procedures manuals
  • Review and comment on operational manuals, agreements, marketing materials etc. for the business units from compliance perspective
  • Review the reports for AML and CFT purposes and take appropriate follow-up actions
  • Liaise with business units to establish and maintain sound internal controls to mitigate compliance risks
  • Perform compliance monitoring daily and other regular routines
  • Deliver in-house AML and Compliance training to business units

Requirements

  • Degree holder in Law, Business, Finance or related disciplines
  • 7 years or above relevant experience in securities firm, preferably with Company Secretarial exposure
  • Member of HKICS / ICSA preferred
  • Well versed with Company Ordinances, Securities and Futures Ordinances and other statutory and regulatory requirements on KYC, AML and good knowledge in financial products and commercial practices in SFC regulated activities, insurance broker & money lenders business.
  • Independent, able to work efficiently with minimum supervision
  • Proficient in both spoken and written English and Chinese
  • Immediately available highly preferred

Candidate with more experience will be considered as Senior Manager

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