Job - Head of Legal & Compliance, Taiping Financial Holdings Company Limited
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Taiping Financial Holdings Company Limited

Taiping Financial Holdings Company Limited, a member of China Taiping Insurance Group, was formally established on June 26, 2012. Comprising Taiping Assets Management (Hong Kong) Company Limited, Taiping Securities (HK) Co., Ltd., Taiping Capital Limited, China Insurance Group Finance Company Limited, Taiping Trustees Limited, Saundas (Nominees) Limited, Taiping Financial Futures (HK) Co., Ltd. and Taiping Financial Holdings (Shenzhen) (in preparation), its business scope includes securities brokerage, asset management, corporate finance, wealth management, research, trusts, loans and others.

We now invite high caliber candidate to join our company for the following role:

Head of Legal & Compliance

Job Ref.CT3105882-01#0010

Responsibilities:

  • Lead our compliance team in charge of full spectrum of compliance functions
  • Provide legal advise and support on various business units, with focus on securities, fixed income, asset management, private equity and authorized fund, capital, alternative investment, etc
  • Draft,review business documents and related materials, contract, agreements to ensure compliance with requirement of SFC and relevant regulatory bodies
  • Ensure internal procedure and policies are in line with latest rules and ordinance
  • Advise senior management on regulatory changes, industry initiatives and policy developments
  • Perform compliance analysis on new business and new product, participate in compliance assessments, reviews and testing
  • Liaise with relevant regulatory bodies and lawyer firm, participate in other ad hoc legal projects
  • Supervise the licensing related matters and deal with SFC on higher level issues

Requirements:

  • Degree or above in Law/Finance/Accounting or related disciplines obtained from the list of sponsored universities under the 985 Project or other world class first-tier universities
  • Candidate with relevant professional qualifications is preferred
  • Experience in SFC licensed 1,4,6,9type of activities with company secretary qualification will preferable
  • At least 5 years of relevant compliance experience in financial services industry
  • Excellent knowledge in full range of investment law, rules and regulations
  • Responsible, detail-mind, teamwork, able to work under pressure with tight schedule
  • Good command in written and spoken English and Chinese with fluency of Putonghua
  • Strong communication, interpersonal and presentation skills 

We provide 5-day work week and attractive remuneration package to the right candidate. Interested parties, please send your full resume with present, expected salary and date available by email to: recruit@tpsec.com.hk, attention HR & Adm Manager. Please mark POSITION & DEPARTMENT applied for in the subject of your application.

All Personal data collected will be used for recruitment purpose only.

Apply Now
Job Ref No.
CT3105882-01#0010
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