Job ref no.: CT3116513-01#9068

Legal and Compliance Manager

AMAC Human Resources Consultants


Negotiable Per Month
Legal and Compliance Manager

  • Degree holder in laws, finance, business administration or related
  • Minimum 5 year's related experience in handling legal and compliance
matters in securities firm or financial institution
  • Familiar with SFC codes and guidelines, Securities and Futures
Ordinance and other relevant regulatory requirements
  • Good understanding of financial products, GMRA, GMSLA, operations of
securities firm and asset management company, FRR, FATCA and CRS is an
  • A strong sense of responsibility, mature, problem solving with good
interpersonal and communications skills
  • Good command in spoken and written English and Mandarin

Job Duties:
  • Provide legal and compliance advice and support to management and
business units
  • Provide day to day regulatory advice and guidance on rules and
internal policies and its latest updates, ensure the business unit in
compliance with the law, rules and regulations
  • Drafting, reviewing and negotiating a wide range of legal
documentation such as corporate and fund documentation, including
investment advisory agreements and side letters, and marketing
  • Advising on a range of commercial legal matters such as supplier
agreements, non-disclosure agreements, marketing and intellectual
  • Drafting standard documents, formulating and updating compliance
policies and procedures and maintaining contract databases
  • Review business processes and new initiatives put forward by the
business units to ensure compliance with regulatory requirements
  • Coordinate and liaise with regulators on enquiries, reporting
inspection and/or investigation, being familiar with SFC regulations
  • Deliver in-house compliance training to the business unit and advice
to the management
  • Perform other ad hoc legal and compliance related tasks

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More job information
Job ref no. CT3116513-01#9068
  • N/A
Job Function
  • 5 years - 10 years
Career Level
  • Middle management level
  • Degree