Senior Officer / Assistant Manager, Compliance
Our client, one of the Multiple business Group is now looking for Senior Officer / AM - Legal & Compliance to join their elite team.
Job Responsibilities:
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Assist in opening client accounts and conducting customer due diligence including AMLand KYC checking
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Assist in designing and implementing relevant compliance monitoring and reviews to ensure all business activities are in compliance with the applicable legal and regulatory requirements
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Assist in handling licensing applications, filings with SFC and CGSE, as well as updating CPD records
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Liaise with external regulatory authorities (e.g.SFC and CGSE), legal counsels and/or external consultants when required
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Draft and review various agreements, as well as compliance policies and procedures
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Provide advisory services to the management and various business units
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Keep abreast of the market and regulatory updates, and ensure the staff members are well aware of those changes
Job Requirements:
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Bachelor degree in Business Law, Economics, Finance, Accounting or other related disciplines; with law background such as LLB/ LLM/JD degree is highly desirable
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Minimum 4 years’ relevant experience, preferably gained from local regulators, and/or compliance departments of securities brokerage firms; with exposure to handling paralegal related tasks an advantage
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Experience in dealing with SFC/ CGSE a plus
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Mature, hardworking, a good team player; with strong sense of responsibility, good inter-personal and communication skills
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Good command of both spoken and written English & Chinese; proficiency in Mandarin an advantage
Interested candidates, please kindly send your detailed resume including:
1) Current and expected salary
2) Availability
3) Reason for leaving current and past employments
directly to: justin.wan@jac-recruitment.com and jac.hk@jac-recruitment.com
Personal data collected will be used for employment-related purpose only. We regret to inform that only shortlisted candidates will be notified, thank you.