comScoreTag
Job ref no.: CT3114389-01#7485

Legal & Compliance Manager

Vantage Capital Markets HK Limited

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

Key accountabilities include providing support in:

  • company and employee licensing matters;
  • employment and commercial contract law matters;
  • client on-boarding, conducting KYC and AML due diligence, and arranging electronic give-up agreements;
  • assessing regulatory implications of new businesses and products; facilitating transaction approvals;
  • developing and implementing compliance policies and procedures as well as processes for their periodic review, update and internal distribution;
  • implementing a continuing professional training programme for staff and providing advice to the front office on licensing, examination and other continuing obligation requirements;
  • implementing personal account dealing policies and monitoring;
  • assisting management to keep abreast of regulatory issues, developments and assessing the potential impact of regulatory change on business practices, process, controls and products;
  • assisting in the implementation of transaction monitoring and control systems;
  • assisting in tracking regulatory changes, conducting legislative analysis, crafting policies in responses to regulatory changes and designing the effective and timely roll-out of policies; and
  • liaising with regulators.

Required skills and experience:

  • Excellent spoken and written English
  • Tertiary education, preferably with legal background
  • At least 3 years of relevant experience in a compliance function in the securities industry              
  • Experience with financial derivatives market a plus

Compensation

Compensation will be competitive and commensurate with the candidate’s qualifications and experience, with an annual discretionary bonus where applicable.

 

Interested parties please click Apply Now to apply job.

All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.

More job information
Job ref no. CT3114389-01#7485
Salary
  • N/A
Job Function
Industry
Location
  • Central
Employment Term
  • Permanent
  • Full-time
Experience
  • 3 years - 8 years
Career Level
  • Middle management level
Education
  • Asso. Deg or High Dip
  • Degree