Head of Legal & Compliance (SFC Type 1, 4, 6, 9)

Head of Legal & Compliance (SFC Type 1, 4, 6, 9)

Levin Human Capital Consulting
Hong Kong
12-15 years
Not Specified

Job Description

Job Description :
Our client is a well-established PRC Financial Group with SFC licensed type 1, 4, 6, 9 business. To cope with the rapid business expansion, she is now inviting high caliber candidate to join the team.
  • Report to the CEO directly
  • Oversee and manage the functions of Legal and Compliance Dept
  • Responsible for developing and enhancing compliance control policies, procedures, programes and monitoring their effective implementation;
  • Review and monitor compliance review and ad hoc examination for securities brokerage, corporate finance and asset management.
  • Maintain highest level of compliance standards
  • Handle ad hoc projects and drafting and preparing reports and submissions
  • Liaise with regulators, internal and external regulators as required
  • Ensure all enquirers, complaints and investigations and licensing works are handled properly
  • Conduct compliance-related training as and when necessary

  • Degree holder in Law, Finance, Accounting or related disciplines
  • Qualified Lawyer of Hong Kong
  • Over 12 years’ relevant experience in Legal & Compliance team in securities firm / financial institutions
  • Well versed with the SFO and other relevant codes and regulations as well as rules and regulations of Type 1, 4,6, 9
  • Proficiency in both spoken and written English, Cantonese and Mandarin
  • Excellent communication, analytical and problem solving skill

*** Pls send CV to [Confidential Information] for application or contact us at 2520 0064 for more infor

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