Posted on 2022-11-28
Yue Xiu Securities Holdings Limited

General Manager, Compliance and Legal Affairs Department

Yue Xiu Securities Holdings Limited

We offer attractive remuneration package, 5-day work, competitive fringe benefits (wedding leave, body check, group medical insurance, dental insurance etc.) and excellent career development opportunity to the right candidate.


  • Oversee the legal & compliance function to maintain sound control on internal procedures and ensure the company’s operations are in accordance with regulations, guidelines, internal policies and procedures;
  • Provide legal and regulatory advices to management and business units on current and new business initiatives for mitigating compliance risks;
  • Develop compliance programs and conduct regular compliance / AML reviews and checking;
  • Keep abreast of the latest development of applicable regulatory requirements, review and update departments’ policies and procedures periodically;
  • Design and conduct AML and other compliance related training;
  • Review the Company’s legal documents include contracts and agreements;
  • Liaise with local regulators, government authorities and external legal counsel.


  • Degree holder in Business Administration, Risk Management, Law or related disciplines;
  • Minimum 10 years of legal and compliance experience in financial industry, with 4 years as supervisory level;
  • Sound knowledge of relevant laws, rules, codes and guidelines issued by SFC and other regulatory authorities;
  • Strong interpersonal and communication skills to work with internal parties;
  • Good command of written and spoken English and Chinese (including Putonghua).

Interested parties please send CV to the Human Resources Department by clicking Apply Now.

Applicants not invited for interviews within six weeks may consider their applications unsuccessful. Our Company is an equal opportunity employer. Personal data collected will be used for recruitment purpose only.

All information provided will be treated confidentially.

More job information
  • 5-day week
  • Competitive pay
  • Dental plan
  • Education subsidies
  • Medical plan
Job Function
  • Wanchai
Employment Term
  • Full-time
  • 10 years - 20 years or above
Career Level
  • Senior management level
  • Degree