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Legal and Compliance Manager
A renowned, local securities and futures group is looking for a legal and compliance director to help manage its overall legal and corporate secretarial services in Hong Kong.

Description :
Reporting to the Chairman, you will be responsible to:

- Oversee and manage the legal function of the Group in view of protecting the legal standing of the Group in relation to its dealings with all counterparties.
- Liaise with external lawyers and/or legal advisors where deemed necessary.
- Take an active advisory role to the management, business units and support functions on legal matters and provide guidance and opinion where necessary.
- Review and where required, draft documents in relation to both internal and external matters to ensure that the Group’s interest is protected.
- Review and provide advice on internal policies, guidelines and procedures where necessary.
- Manage and advice on outstanding legal cases involving the Group.
- Provide support to the corporate secretarial services.
- Oversee and manage the compliance function for the Group with continuous improvements to bring the Group to a higher level of compliance.
- Provide support and advice to the management, business units and support functions on compliance related matters and be a reference point on regulatory requirements.
- Keep abreast on regulatory developments and advice the management, business units and support functions accordingly.
- Implement an effective compliance framework to enable early detection of possible non-compliance issues to facilitate corrective and preventive actions to avoid recurrence.
- Provide training and guide the Compliance Team in conducting effective compliance reviews and submit the necessary reports to the board, management and/or the holding company as the case may be.
- Provide the necessary training to the staff and raise the compliance awareness and enhance the compliance culture of the Group.
- Review and provide advice on internal policies, guidelines and procedures in relation to compliance matters where necessary.

Requirements:
• University degree in Law, Accounting, Finance or other related discipline
• A minimum of 10 years legal and compliance experience preferably gained from reputable and sizeable investment bank, fund house, securities firm or regulatory bodies
•In-depth knowledge of rules, regulations and guidelines of Securities and Futures Commission and HKEX
•Familiarity with Hong Kong regulations with the experience in dealing with SFC authorised products will be a plus
•Good knowledge of financial products
•Strong communication skills and interpersonal skills
•Able to communicate with all levels with good team management skill
•Fluency in written and spoken Chinese (Mandarin – a must) and English

Attractive remuneration package and career advancements opportunities will be offered to the right candidate.

Interested parties or referrals please send your full resume to [email protected]. Your interests will be treated in the strictest of confidence and will be used for recruitment purposes only.

OneSelect Hong Kong Limited
Address: 1/F, CMA Building, 64-66 Connaught Road Central, Hong Kong