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Develop and implement an effective compliance framework and ongoing compliance monitoring programs
Identify any potential compliance risks and develop precautionary measures by developing and maintaining an effective internal compliance alert system
Oversee the relevant ordinance, rules and regulations applicable to the trades of the Group are compiled with by all concerned at all times
Coordinate and liaise with regulatory authorities for regulatory enquiries, reporting, inspection and investigation
Provide regulatory oversight and support to development proposals on direction, markets and products by Executive Committee or strategic Business Units from inception to final commission
Promote compliance awareness and culture within the Group and provide compliance training to the business
Monitor all legal related matters of the Group
Provide legal documentation vetting services to the Group
Give advise on any legal issues related to daily business and general litigation matters of the Group
Ensure group management policies, internal rules and regulations are strictly adhered to
Qualified lawyer with at least 8 years' relevant experience gained in a sizable financial institution and/or international law firm
Have excellent knowledge of regulations related to different investment products and businesses and well versed with Securities and Futures Act, Financial Advisers Act and the relevant regulations; knowledge of Singapore laws is an advantage;
Good knowledge of international operations and compliance standard of brokerage business in overseas operations is a plus
Independent, self-motivated and able to meet tight deadline
Professional presentation and report writing skill
Good command of written and spoken English and Chinese including Putonghua
We provide attractive remuneration package and fringe benefits for the right candidate. Interested parties please send detailed resume with current and expected salaries to Human Resources Department i) by mail: 22/F, Li Po Chun Chambers, 189 Des Voeux Road Central, HK; ii) by fax: 2537 5431; iii) by getting application method through the Job Opportunities Section of our Corporate website: www.htisec.com; or iv) by email to: firstname.lastname@example.org.
Please quote the reference in the application. If application is submitted in hard copy format, it should be placed in a sealed envelope marked "Confidential". All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only. A copy of our Personal Information Collection Statement will be available upon request.