Job ref no.: Ref.A-51308

Legal and Compliance Officer

AMAC Human Resources Consultants

  • Degree holder in Law, Accounting, Business Administration or other
related disciplines
  • 2 years' relevant experience
  • Familiar with securities laws and regulations, SFC rules and
regulations, Exchange Rules, Listing Rules and Companies Ordinance
  • Good command in both spoken and written English and Chinese (including
  • No experience will be also be considered

Job Duties:
  • Report to Legal & Compliance Manager and Head of Legal & Compliance
  • Provide compliance advice and solution to management and departments
  • Develop, draft and review a broad range of business contracts
agreements, announcement, notice, correspondence, account opening
documents, marketing materials, board resolutions, shareholders
resolutions and other documentations
  • Formulate and review general compliance manual, AML and other internal
policies and procedures
  • Keep abreast on regulatory developments and advise management and
departments accordingly
  • Monitor the Company's operation and employee dealing, and perform
compliance checking to ensure compliance with rules and regulations
and internal policies and procedures
  • Handle head office's enquiry and reporting requirements and prepare ad
hoc reports at the request of management
  • Coordinate with other departments on legal, compliance and company
secretarial matters
  • Liaise with government bodies and handle regulators' enquiry
notification requirement, reporting, inspection and investigation
  • Work with external lawyers and other professional advisers and deal
with auditors
  • Provide in-house training on rules and regulations and promote
compliance awareness in the Company
  • Handle and maintain licence applications, client complaints, CPT
records etc
  • Perform ad-hoc assignments
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More job information
Job ref no. Ref.A-51308 (CT3116513-01#9105)
  • N/A
Job Function
  • 2 years - 7 years
Career Level
  • Non-management level
  • Degree