LEGAL COMPLIANCE MANAGER

Professional Services • Full Time • Sheung Wan, Hong Kong, HK • 1m ago

We are among the top 5 full financial services institutions in Taiwan and managed financial assets of more than US$18 billion. We have also been consecutively ranked as Taiwan’s best securities firm by Asiamoney, Euromoney and Finance Asia for 30 years. To cope with the growth of our Hong Kong office, we are looking for high calibre personnel to fill the following position:

Responsibilities:

Review and maintain internal policies and procedures to ensure that the operation as a whole is complied with the applicable legal and regulatory requirements as well as the Company's internal policies and procedures.
Identify and evaluate compliance risks of the operations and business activities for brokerage business; and provide legal and compliance advice to the Management and business units.
Perform the Company's audit and compliance assignments including the risk-based audit, the conduct of compliance related checking into suspicious transactions, and the provision to the Management with precise and practical advice on compliance and regulatory developments.
Maintain close relationship with regulators, internal/external auditors, head office and attend to all enquiries pertaining to regulatory and compliance matters.
Follow up the findings of SFC’s inspection and perform investigation of clients’ complaint.
Perform account opening KYC/CDD review for potential and existing clients; and perform regular AML transaction / account review.
Provide legal and compliance advice to the top management and business units on business operation and development.
To prepare and review legal documentations.
Supervise the subordinate to maintain and update licensing record database, handle license applications and all subsequent notification therein.
Review Company' filings to the Company Registry and supervise the subordinate to perform company secretarial matters.
Deliver in-house compliance training to the business units.
Perform ad hoc duties assigned by the Management.

Requirements:

Bachelor degree holder preferably major in Law, Accounting or related disciplines with relevant professional qualifications.
Well versed with the Securities & Futures Ordinance ("SFO"), AML rules, financial services laws & regulations and market practices.
At least 5 years’ relevant experience in financial brokerage business or regulatory body.
Experience in liaising and dealing with the regulators.
Excellent command of written and spoken English, Cantonese and Mandarin
Excellent communication, analytical and problem solving skill
We offer competitive remuneration packages to the right candidates. Please send your application with full career details, current and expected salary to us by e-mail or by mail to: The Human Resources Department, CSC Securities (HK) Limited, 3/F., 308 Central Des Voeux, No. 308 Des Voeux Central, Hong Kong.
Data collected would be used for recruitment purpose only and will be retained for not more than 2 years.

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

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