Senior Legal and Compliance Professional
16-12-2024
Job Type
Permanent
Emp Type
Full Time
Industry
Legal
Salary Type
Annual
Salary
HKD $960,000.00
Job ID
34077
Job Description
Responsibilities:
- Provide compliance guidance on transactions, regulatory requirements, and operational processes to ensure adherence to applicable laws and standards
- Stay updated on regulations, laws, and codes, advising the business on legal and compliance implications
- Ensure new products and systems align with compliance standards
- Develop compliance monitoring programs and investigate suspicious transactions
- Review and update internal policies to meet regulatory and internal control standards
- Address AML-related compliance issues
- Oversee licensing/registration compliance and manage regulatory risk tracking
- Conduct compliance training and support ad hoc initiatives
Requirements:
- Minimum 8 years of legal and compliance experience in brokerage/securities
- Fluent in English, Cantonese, and Mandarin
- Strong project management and organizational skills