CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Our client is a leading investment holding Group specializing in securities, future, Forex trading and asset management. They are seeking a Senior Legal & Compliance Officer (SFC Licensed Representative Type 1,2,3,4,9) for their business operations.
You will be responsible for compliance aspects of regulatory requirements, facilitate KYC review and due diligence process.
Worked in SFC licensed corporations specializing in regulated activities of Type 1, 2, 3, 4 & 9 (dealing in securities, futures contracts, leveraged foreign exchange trading, asset management and advising in securities)
Responsible for accounts opening for client and conducting CDD including KYC and AML checking
Responsible for licensing and compliance advisory of SFC, Money Lenders of Companies Registry and CGSE
Draft, review, amend and translate various legal agreements / other legal & compliance related documentations
Conduct legal research and handle ad hoc legal support
Manage and ensure policies and procedures are in compliance with SFC requirements
Responsible for licensing applications, filings with SFC and CGSE
Provide compliance advice / updates and solution to management and internal departments
Degree Holder in Finance, Accounting or other related disciplines; LLB holder is highly preferred
Preferred 4 years' of solid compliance experiences in sizeable financial institutions or securities brokerage firm
Experience in handling paralegal related tasks a plus
Experience in dealing with SFC / CGSE a plus
Excellent analytical, problem solving and management skills
Proficient in spoken and written English, Cantonese and Mandarin
Immediate available is highly preferred
Internal Number: 6511342
eFinancialCareers is a career site specializing in financial services.