Legal and Compliance Manager – Well-established Financial Institution Legal and Compliance Manager – Well-established  …

Aquis Search
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Aquis Search
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Be the first to apply
Competitive
Our client, an expanding financial institution is looking for a seasoned candidate with both legal and compliance experience.

Responsibilities of the role:

  • Ensure the company’s ongoing and new business are in compliance with regulatory requirements of SFC and other regulatory bodies
  • Formulate and develop compliance policies and procedures
  • Draft and review contracts and legal documents
  • Handle SFC licensing and regulatory filings;
  • Review and approve staff dealings for the region, monitoring and surveillance;
  • Perform Ad-hoc tasks

 

Requirements of the role:

  • University graduates in Law, Accounting, Finance, Business or other relevant fields;
  • At least 4 years of experience in compliance/legal/company secretary function, gained from financial institutions including investment banks and/or asset management companies
  • Excellent written and spoken Chinese and English. Mandarin is a must
  • Good communication and interpersonal skills;
  • Good team-player who is highly accurate, self-motivated and independent;
  • Willing and able to adapt to a fast-paced environment and assume responsibilities with a result-driven altitude;
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