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Shanxi Securities International Financial Holdings Limited
January 5, 2020
Provide compliance advisory as well as proper internal control to ensure that Company's activities are in compliance with latest statutory and regulatory requirements
As one of the key members to liaise with regulatory bodies, and fulfil timely response to enquiries
Review manuals and mandate to ensure they are properly revised or updated when necessary, and draft new manuals, mandate, policies and procedures in light of regulatory or business changes.
Analyze the testing and controls procedures to ensure that the compliance monitoring is conducted effectively
Perform surveillance for trading activities; take part in new products launching procedure, providing day-to-day compliance advice to different business lines
Assist regulatory filings and assist with legal matters such as term sheets, NDA, letters of engagements revision
Conduct regular and ad hoc compliance review including AML Chinese Wall and sales practice reviews
Perform ad hoc projects
Bachelor degree from a reputable university majoring in Law, Accounting, Business, Finance or a related discipline. Qualified lawyer preferred, but not a must.
Minimum 8 years solid compliance, in-house counsel or legal (with at least 5 years PQE) experience, preferably gained from securities brokerage and asset management businesses;
Familiar with the Securities and Futures Ordinance, SFC rules and regulations
Good knowledge in investment products, fund setup and practices in FATCA are definitely advantageous
Ability to work independently and a good team player
Confident, self-motivated, organized, detail-oriented, willing to learn, flexible, able to multitask and strong analytical skills
Fluency in written English and Chinese, with verbal fluency in Mandarin
We offer competitive remuneration packages to the right candidate. Interested parties please submit your resume to Human Resources Department (1). by post to Unit A, 29/F., Tower 1, Admiralty Centre, 18 Harcourt Road, Admiralty, Hong Kong; or (2). by email to firstname.lastname@example.org. All applications will be treated in strict confidence and personal data provided by job applications will be used for recruitment purposes only.