Reference Number 035609
Position Legal Compliance Manager
Salary 40 - 50K
Job Requirements
Identify and evaluate compliance risks of the operations and business activities for Brokerage business and provide alternative and compliance solutions
Provide day to day regulatory advice and guidance on rules and internal policies including AML and its latest updates; review business processes and new initiatives to ensure compliance with regulatory requirements
Partner with other Legal team on assessing and measuring compliance and related risks, and developing common standards and practices
Conduct monitoring activities including desk reviews, thematic reviews and AML compliance review wherever appropriate for compliance with regulatory requirements
Draft, revise, update and maintain compliance policies and manuals of the business units as necessary on ongoing basis
Review, enhance and develop the compliance programs, procedures and guidelines for the business unit
Manage relationship with the relevant Exchanges and Regulators, handling queries and requests
Deliver in-house compliance training to the business unit and provide advice to the management

Degree holder in Law, Finance or other related disciplines
3-5 years’ relevant hands-on compliance experience in Brokerage business
Good understanding of HK AML rules and SFO
Good command of written and spoken English and Chinese including fluency in Putonghua
Candidates with more experience will be considered as Senior Manager
Contacts Edmond So - 26275200