Job ref no.: CT3116513-01#8470

Legal & Compliance

AMAC Human Resources Consultants

Negotiable Per Month
Legal & Compliance

  • Degree holder in Laws or related disciplines over at least 1-3years
relevant experience gained from finance field, preferably asset
management and securities companies
  • Good knowledge of Hong Kong regulatory regime, familiar with relevant
codes and rules, experienced in dealing with regulators
  • Familiar with Type 1, 4, 9 license related business under SFC
  • Well-versed with Securities and Futures Ordinance and HKEX regulations
  • Good command of written English and Chinese and excellent
communication skills

Job Duties:
  • Overseeing and monitoring the regulatory, compliance, operational risk
  • Coordinate and liaise with regulators/authorities such as SFC and
handle their enquiries and/or investigations regarding type 1, 4 and 9
licenses issues
  • Develop, implement and conduct training on AML, regulatory and
compliance matters
  • Formulating, developing compliance policies and procedures and
monitoring trade and transactions
  • Advising on compliance issues and handling licensing, CPT monitoring
matters and attending to enquiries from regulators
  • Preparing, drafting and reviewing legal documentations
  • Other ad hoc jobs as may be assigned by the company from time to time

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More job information
Job ref no. CT3116513-01#8470
  • N/A
Job Function
  • 1 year - 6 years
Career Level
  • Entry level
  • Degree