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Supervise a team to handle a full spectrum of legal and compliance matters for the company;
Advise on compliance aspects relating to securities, corporate finance, licensing and related matters;
Ensure all activities in the company are in compliance with Securities & Futures Ordinance by assessing impact of regulatory changes and advise on updating compliance policies and procedures in accordance with the relevant laws, guidelines and regulatory requirements, stay up to date on any regulatory changes, and ensure that any business is compliant with existing/new regulations;
Monitor the dealing and trading activities in the securities markets and perform trade surveillance;
Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements.
Prior working experience in managing Legal and Compliance department in securities institutions is a must;
Good understanding of SFC regulations and guidelines as well as related regulations and legislation;
Good interpersonal and communication skills;
Excellent command of written and spoken English, Cantonese and Mandarin.