A leading brokerage is seeking a seasoned legal and compliance professional to head up the function in Hong Kong. You will be advising senior management on legal and compliance related matters.
Responsibilities:
- Manage and oversee the legal and compliance functions to ensure internal procedures and operations are in line with regulatory requirements and control
- Develop compliance programs and advise business on regulatory compliance, AML/ KYC requirements, as well as licensing applications
- Review and improve on current compliance framework and program
- Lead and provide training to junior members in the team
Requirements:
- Bachelors degree or above
- 10+ years of experience in legal or compliance with team management experience
- Knowledge of securities brokerages compliance framework and operations processes
- Fluency in Chinese and English