Responsibilities:
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- Provide practical legal and compliance advice support to front and middle back office
- Conduct legal research, analyze legal and compliance issues and advise on any workable resolutions
- Review and advise commercial contracts and documents
- Liaise and manage external legal consultants and counsels to manage any litigations cases
- Review and revise compliance manuals, policies, procedures and systems to keep abreast of new and regulatory changes
- Support department head to oversee licensing related works and offer advice on licensing issues
- Support department head to conduct internal investigation and draft conclusion report
- Collaborate closely with internal stakeholders for implementation of compliance related projects
- Handle regulatory requests, inquiries and examinations in a proper and timely manner
- Perform ad-hoc assignments as assigned
Requirements:
- Bachelor Degree or above in Law or related disciplines
- Possess at least 8 years legal experience working in financial services industry with solid experience in handling complicated compliance issues
- Mature, self-initiative, detail oriented with good inter-personal skill and analytical mind
- Sound knowledge in rules and regulations administered by the SFC, market practices, financial products as well as securities business
- Self-motivated, able to work independently
- Conversant with MS Office applications and Chinese character input
- Proficiency in both written and spoken English and Chinese (including Putonghua)
Interested parties, please send me your resume to [email protected]