Job Description
Our client, Japan's leading online securities company is inviting applications for the following :
Legal & Compliance Manager
Job Description
- Perform general compliance function
- Coordinate and liaise with regulators on enquiries, reporting, inspection and/or investigation, being familiar with SFC regulations
- Deliver in-house legal and compliance training to the management
- Perform trade surveillance
- Review and revise compliance manual and internal code, policies and procedures
- Handle licensing related matters and other regulatory filing for the group and liaise with SFC and other regulatory authorities on their inquiries
Requirement
- Degree holder in Law, Finance or related disciplines
- 5+ years of compliance / regulatory experience with experience at a Chinese securities firm preferred.
- Ideally have experience in securities firm or financial institution
- Familiar with SFC codes and guidelines and other relevant regulatory requirements
- Able to handle legal work independently
- A strong team member, details oriented and able to multi-tasking
- Excellent command in spoken and written English and Chinese, Japanese skill is an advantage
- Sound knowledge of the Hong Kong regulations and experience in handling regulatory applications and inquires.
Package:
- Salary negotiable
- Central
- Medical
- 5 days
interest parties please visit http://www.rgf-hragent.asia/en/hongkong/
All information received will be kept in strict confidential and only for recruitment purpose.