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Handle compliance related matters for corporate finance activities including but not limited to review corporate/legal/compliance documentation, perform AML assessment and independence checks and liaise with solicitors, regulatory authorities and other relevant parties as required throughout deal execution process.
Maintain and review compliance manuals, policies, procedures and systems to ensure that all CF and brokerage activities are in compliance with the applicable laws, regulatory requirements and the Group's policies.
Conduct continuous compliance review and surveillance exercises on all transactions and activities related to Type 1, 4 & 6 regulated activities.
Liaising with external counsels on regulatory aspects of transactions.
Oversee of compliance and reporting requirements including CRS & FATCA.
Assume responsibility for training and giving direction to junior staff and new staff of compliance matters.
Advise the board and COO in general compliance issues.
Bachelor's degree from a major university with 5+ years of legal and compliance experience dealing with Type 6 regulated activities in major investment banks or SFC licensed corporations
Strong understanding of information control and conflicts of interest issues, as well as surveillance and monitoring experience
Strong working knowledge of securities law and capital markets practice
Strong command of spoken and written business English and Chinese
Prior experience in control and risk management procedures for key investment products is desirable
Internal Number: 6883372
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