Legal and Compliance Officer Legal and Compliance Officer …

Flex Recruitment
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 24 Sep 19
Competitive + Discretionary Bonus
Flex Recruitment
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 24 Sep 19
Competitive + Discretionary Bonus
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.

Responsibilities

  • 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

Requirements

  • 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
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