Job ref no.: CT3119296-01#0020
Founder Securities (Hong Kong) Financial Holdings Limited

VP V Compliance / Legal

Founder Securities (Hong Kong) Financial Holdings Limited

  • 5-day week
  • Birthday leave
  • Dental plan
  • Discretionary bonus
  • Extra maternity leave
  • Flexible working hours
  • Marriage leave
  • Medical plan
  • K + 2 more

Job Descriptions:

  • Provide Legal advice for the company in various area.
  • Reviewing all compliance procedures/policies for various departments, ensuring the compliance policies are properly developed, monitored & complied with relevant regulations and legislation in respect of the regulated activities
  • Liaising with regulators, auditors and legal counsel on compliance/legal matters
  • Handle Hong Kong regulatory work including SFC enquiries and onsite/offsite examinations
  • Assist in compliance training for staff and ensure compliance policies and procedures are maintained and followed
  • Update compliance policies and procedures and ad hoc tasks as required


  • University degree/qualifications in legal or related background.
  • Minimum 4 years related experience
  • Candidates with less experience will be considered as Senior Officer / Officer
  • Excellent knowledge of rules and regulations relating to securities and futures brokerage, corporate finance and asset management business
  • Able to identify problems and seek practical solutions
  • Solid awareness of controls and governance
  • Self-motivated, a team player and results orientated
  • Fluent in English and Mandarin

We offer attractive remuneration and benefits to the right candidates. Interested parties, please send your application with full resume stating your CURRENT and EXPECTED salary to the following email address: [via CTgoodjobs Apply Now ]

All applications will be treated in strict confidence and used exclusively for the employment purpose. Only short listed candidates will be invited for interview. The company will retain the applications for a maximum period of 6 months. 

More job information
Job ref no. CT3119296-01#0020
  • N/A
Job Function
  • Central
Employment Term
  • Full-time
  • 4 years - 9 years
Career Level
  • Middle management level
  • Degree