Hamlyn Williams have partnered with a growing financial institution to build out their Legal & Compliance function in Hong Kong. With strong backing from their parent company to continue growing their presence in Greater China region, this company is actively expanding its headcount in their HK office. This is an exciting opportunity for someone who comes with 4-5 years of working experience in big 4 audit firms and looking to establish his/her career in legal & compliance function for a financial institution.
- Provide ongoing compliance advice and support business initiatives
- Monitor regulatory changes and update the policies and procedures
- Handle regulatory reporting and inquires with the relevant exchanges, SFC and other regulators
- Prepare and review compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes
- Manage internal and external audit, inspections and investigations from the auditors, exchanges and regulators
- Liaise and collaborate with different departments to formulate, drive and implement remediation of compliance issues
- Conduct in-house compliance training
- Handling SFC licensing application, licensing matters, CPT requirement management etc.
- Assist in ad hoc projects as required
- Bachelor's Degree or above
- At least 4 to 5 years relevant working experience in compliance or big four audit firms
- Good knowledge of SFC regulations, guidelines and market practices
- Responsible, hardworking and well-organized
- Good command of both written and spoken English and Chinese including fluency of Mandarin
- Legal experience is preferred