Degree holder in Legal or related disciplines. Compliance professional. Knowledge in rules of SFC Type 1, 4, 9. At least 3 years compliance experience. Work-life balance.
Our client is a public listed securities company in SEHK that provides money lending, securities trading, asset management and other financial services. They are currently inviting a high calber professional to join as a Legal and Compliance Officer for their compliance team.
- Develop, draft and review a broad range of business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other documentations
- Handle license applications, confidential information and matters with discretion
- Forecast the opportunities, risks and provide advice or recommendation to management
- Monitor daily business to ensure compliance with rules and regulations, and internal policies and procedures
- Handle any other legal and compliance ad-hoc duties as required
- Degree holder in Legal or related disciplines
- At least 3 years’ compliance experience, preferably from Listed Companies
- Knowledge in existing rules and regulations of licensed for Type 1, 4, 9 (SFC & HKEX)
- Excellent in written English and Chinese; Fluent in spoken Mandarin, Cantonese and English
- Able to work under pressure and use independent judgement on a variety of compliance issues
- Familiar with MS Office applications and Chinese word processing