Job ref no.: ASC-SM/L&C/IBK

Senior Manager, Legal & Compliance (I-Bank) Stable Platform, Good Package!

Allegro Search Consultancy

Job Responsibilities:

  • Identify and assess compliance risks along with the Group’s development and daily operational activities;
  • Assist to develop and implement internal policies, procedures and control manuals for the Group;
  • Perform periodic compliance monitoring tests on the Company’s various activities and monitor closely with the regulatory requirements and ensure the policies and procedures in the Group adhere to the requirements;
  • Manage all compliance-related matters and issues arising from day-to-day business operations, including but not limited to liaising with the SFC or other regulators;
  • Keep abreast of any new or revised regulatory rules and legal requirements in relation to different business units;
  • Develop and deliver internal regulatory training;
  • Communicate with internal business units, external auditors, legal firms and regulatory institutions in regard to compliance matters;

Job Requirements:

  • Degree holder in Accounting, Finance, Law, Risk or related disciplines;
  • At least 5-6 years of related working experience in financial industry, highly prefer in brokerage or investment banking industry
  • Strong knowledge in SFC rules and regulations; in-depth knowledge of regulatory requirements and financial markets
  • Familiar in handling compliance issues for Type 6 and 9 regulated activities are highly preferable;
  • Ability to identify and analyze complex regulatory, compliance, and business issues
  • Pragmatic, proactive and patient with strong determination to understand thoroughly about contentious issues and resolve them accordingly
  • Strong interpersonal skills with an ability to interact with different stakeholders including regulators as well as colleagues of Investment Banking, Research, and Sales and Trading Departments
  • Good communication skills in both spoken and written English and Chinese with fluency in Mandarin

**Very attractive remuneration package with excellent fringe benefits will be offered to the right candidate.**

Interested parties, please send your FULL RESUME (in MS WORD format) with availability, current and expected salaryby clicking Apply Now  you can contact us at (852) 2853 7622 / Fax (852) 3113 1722 for any enquiry.

For more information about our company, please visit our website at All information provided will be treated in strict confidence and used solely for recruitment purpose.

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More job information
Job ref no. ASC-SM/L&C/IBK (CT3114387-01#6561)
  • N/A
Job Function
Employment Term
  • Permanent
  • Full-time
  • 5 years - 6 years
Career Level
  • Middle management level
  • Degree