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Our client is a public listed securities company in SEHK that provides money lending, securities trading, asset management and other financial services. They are currently looking for a Legal and Compliance Officer for their compliance team.
Develop, draft and review a broad range of business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other documentations
Handle license applications, confidential information and matters with discretion
Forecast the opportunities, risks and provide advice or recommendation to management
Monitor daily business to ensure compliance with rules and regulations, and internal policies and procedures
Handle any other legal and compliance ad-hoc duties as required
Degree holder in Legal or related disciplines
At least 3 years' compliance experience, preferably from Listed Companies
Knowledge in existing rules and regulations of licensed for Type 1, 4, 9 (SFC & HKEX)
Excellent in written English and Chinese; Fluent in spoken Mandarin, Cantonese and English
Able to work under pressure and use independent judgement on a variety of compliance issues
Familiar with MS Office applications and Chinese word processing