Job ref no.: CT3114389-01#7485

Legal & Compliance Manager

Vantage Capital Markets HK Limited

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


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