Head of Legal and Compliance, APAC – Global Financial Services recruitment
Our client is a global financial institution with excellent industry expertise and primary technology to ensure the delivery of quality services to the clients
The Role
Reporting to the CEO, you will be fully responsible for:
• Overseeing the firm-wide legal, regulatory and compliance related matters
• Drafting and negotiating vendor agreements, arranging corporate licensing and other lease and intellectual property matters
• Liaising and maintaining good rapport with the SFC, MAS and the HK Stock Exchange in relation to any regulatory and compliance issues
• Providing regulatory guidance for existing and new business
• Identifying regulatory violations and supporting resolution for the Board of Directors
• Reviewing all new regulatory proposals and advise on any potential impact on the business
• Working closely with other business units in the region including US and Japan
The Successful Applicant
You will be a University Graduate holding a degree in law and/or economics preferred with at least 10 years experience gained within a financial services compliance function. You will possess regulatory experience with either the SEC, FINRA, broker-dealer or law firm. Being an independent contributor, you will have strong communication, analytical skills and be able to work under pressure. Hands on experience working at a regulator or understanding technology regulatory process will be an advantage. Fluency in English and Mandarin, both written and spoken is essential.
Contact Us
Please press the APPLY button or email your CV to Christy Lam at c.lam@alsrecruit.com quoting the reference for a confidential discussion. For more Compliance positions, please visit our website (http://alsrecruit.com/) and contact us for details. (EF/8192)