Responsibilities:

• • 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)