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Job ref no.: CM/CLM/2018
Harbridge Partners Limited

Legal and Compliance Manager

Harbridge Partners Limited

Benefits
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Insurance plan
  • Medical plan

The Company

Our client is a SFC Licensed Multinational Corporation with prime offices and affiliates in North America, Europe and Asia. They provide trading platform is registered and regulated by securities and futures authorities in Hong Kong and abroad, providing services including sales and execution services to institutional clients.

Responsibilities

  • Assist in SFC licensing issues including company and employees; Internal compliance policies and procedures as well as regular update and review
  • Responsible for client on-boarding, conducting KYC and AML due diligence, and arranging electronic give-up agreements;
  • Support transactions approvals and new businesses and products;
  • Handle employment and commercial contract law matters;
  • In charge of staff professional training program, licensing, examination and other continuing obligation requirements;
  • Monitor personal account and dealing policies;
  • Keep track of regulatory changes and draft policies in responses to regulatory changes; liaise with regulators

Requirements

  • Good command of Chinese and English
  • Degree holder, legal background preferred
  • 3-5 years of compliance or related experience preferably in the securities industry
  • Experience with transaction platform
  • Good knowledge of financial products and markets especially derivatives will be a a plus

For further information, please contact Chloe at 2523 9966

cm At harbridgepartners dot com

[via CTgoodjobs Apply Now ]

More job information
Job ref no. CM/CLM/2018 (CT3111806-01#0139)
Salary
  • N/A
Job Function
Industry
Employment Term
  • Permanent
  • Full-time
Experience
  • 3 years - 5 years
Career Level
  • Middle management level
Education
  • Degree