Job ref no.: CT3128816-01#8450

Legal & Compliance Officer/Senior Officer

Changjiang Securities International Financial Group Limited

Responsibilities:

  • Develop and establish effective and appropriate compliance policies and procedures for the Company as a whole and for individual business and operations units;
  • Provide legal advice on matters where external advisers are not involved and manage external advisers in giving independent legal opinion/advice;
  • Identify, evaluate and monitor compliance risks of the operations and business activities; and provide sounded advice on measures to appropriately address these compliance risks;
  • Keep abreast of regulatory developments and provide regulatory updates; and review, update, test and enhance the compliance frameworks on the Company's various business activities and initiatives;
  • Manage and handle inquiries and investigation from various regulators;
  • Supervise licensing matters/KYC checks;
  • Plan, develop and conduct appropriate internal training programs to enhance legal & compliance awareness;
  • Work closely with back office, front office, internal and external auditors and regulatory authorities on compliance issues;
  • Perform ad hoc projects as required.

  Requirements:

  • Undergraduate degree in Law, Accounting, Finance; or related disciplines;
  • Minimum 2 years of relevant experience in financial firms;
  • Well versed with Securities and Futures Ordinances, Codes of Conduct, AML Guidelines and other statutory and regulatory requirements;
  • A team player with strong communication and interpersonal skills as well as high degree of professional maturity;
  • Independent, able to work under pressure;
  • Excellent verbal and written communication skills both in Chinese and English, proficiency in Mandarin and Cantonese is a plus.

  We offer 5-days work with good career prospect and remuneration package for the right candidate. Salary will be commensurate with qualifications and experience. Interested parties please apply with full resume (both Chinese and English versions) with current and expected salary by clicking 'Apply Now'.

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More job information
Job ref no. CT3128816-01#8450
Salary
Job Function
Industry
Location
  • Sheung Wan
Employment Term
  • Permanent
  • Full-time
Experience
    N/A
Benefits
  • 5-day week
  • Dental plan
  • Discretionary bonus
  • Medical plan