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Our client is a comprehensive financial institution, providing Securities, Futures, Asset Management and Forex Investment Services in Hong Kong & PRC. As a result of the increased demand in the regulatory setting, they are looking for a Senior Manager (Legal & Compliance) to lead their APAC team in Hong Kong.
You will be responsible for facilitating KYC review, due diligence process and compliance aspects of regulatory requirements.
Responsible for drafting and reviewing various agreements, compliance policies and procedures
Handle anti-money laundering ("AML") compliance issue and review for the enhancement of the AML compliance functions
Ensure all the licensed persons fulfilling CPT requirement
Assist in accounts opening for client and conducting customer due diligence including KYC and AML checking
Ensure policies and procedures are in compliance with SFC requirements
Assist in licensing applications, filings with SFC and The Chinese Gold & Silver Exchange Society (CGSE)
Deal with regulators in any matters relating to Compliance
Review the current compliance framework of the company and suggest actions for improvement
Assist in advising on compliance issues for all transactions and support the business
Degree Holder in Finance, Accounting or other related disciplines; LLB holder preferred
Minimum 5 years experience in Legal & Compliance including KYC & AML; gained from sizeable financial institution / securities brokerage firm preferred
Knowledge in SFC / CGSE a plus
Excellent analytical and problem solving skills
High integrity and trustworthy
Proficient in spoken and written English, Cantonese and Mandarin
Immediate available is highly preferred
Interested parties, please click "Apply" to complete the application process. You can also reach Charlie Kong at +852 3915 0268 for a confidential discussion.