Our client is a leading investment group with diversified business covering proprietary investments, asset management, securities brokerage and corporate finance advisory. She is now looking for appropriate candidates for the following positions:
Assistant Vice President, Legal and Compliance
•Report to the Head of Compliance for the group
•Review and update internal control policies and procedures and keep track of regulatory requirements
•Undertake regular compliance monitoring reviews
•Coordinate and liaise with regulatory authorities on enquiries, reporting, inspection or investigation
•Assist in developing and delivering compliance training and reviewing relevant legal documents
•Assist in funds setting up works by coordination with lawyers, bankers and fund administrator
•May involve in company secretarial duties
•Handle ad hoc tasks as required
•Degree in Law, Accounting, Finance or other related discipline with at least 2-4 years' relevant experience, preferably in brokerage house, asset management house etc.
•Well-versed with Securities and Futures Ordinance and HKEx regulations
•Knowledge of legal, asset management and wealth management businesses is a definite advantage
•Knowledge of investment funds set up would be advantageous but not a must
•Good command of spoken & written English & Chinese including Mandarin
•Self-initiative, independent, good sense of responsibility and willing to work under stress
Competitive salary package and fringe benefits are offered to the right candidate
Interested parties, please send your full resume to firstname.lastname@example.org and email@example.com or click the button "Apply now" with quoting reference no. A-55939MN1 and expected salary or contact us at (852) 2521-1166 for details.
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