Manager, Legal and Compliance Department

Responsibility:

1. Handle all assigned compliance works, providing compliance advice (in particular with regulated activities, including but not limited to Trustee and Asset Custody, Private and Wealth Management, Asset Management, etc.), as well as performing annual products and policies review.
2. Participate in new projects & products/services development, including provide compliance advice and sales and marketing materials, etc.
3. Conduct compliance reviews, provide training and administer committee preparatory works.

Requirement:

1. Strong understanding in financial products, policies and procedures, and regulatory requirements for Asset Management, Asset Custodian, Private Banking and else in HK.
2. Sound knowledge of regulatory requirements such as Banking Ordinance, Securities and Futures Ordinance and its subsidiary legislation, etc.
3. Hands-on experience in handling remediation and process improvement projects.
4. Proficiency in both English and Chinese, including Putonghua.
5. Responsible, detail oriented, well-organized, independent with strong communication skills.
6. Candidate with more experience would be considered as AVP.