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