Head of Legal and Compliance (Ref: PSH/FIG/JS037D) recruitment

RESPONSIBILITIES

Providing quality advice to the local management on the relevant statutory/regulatory requirements and internal policies
Developing and implementing an effective compliance framework and ongoing compliance monitoring program
Identifying weaknesses and recommending procedures to improve operational efficiency and control
Coordinating and liaising with regulatory authorities for regulatory enquiries, reporting, inspection or investigation
Preparing regular and ad hoc reports to local management and group compliance at headquarter
Managing the regulatory risk of the company
Supervising, handling and reviewing company agreements including delegation agreement, distribution agreement, services agreement and other business agreement as required
Working and liaising with internal and external parties to coordinate in regulatory matters upon new product launch
Reviewing marketing material and due diligence questionnaire

REQUIREMENTS

University degree in Laws and a qualified Hong Kong lawyer
A minimum of 8 years of post-qualification experience preferably gained from financial institutions
In-depth knowledge of rules, regulations and guidelines of Securities and Futures Commission and HKEX
Team management and compliance strategy formulation and relevant SFC and other regulatory experience (including dealing with regulatory bodies)
Strong communication skills and interpersonal skills
Able to communicate with all levels with good team management skill
Fluency in written and spoken English and Chinese

Interested Applicants please send your resume (in Word format) together with present and expected salary to Jay Sim:

Tel: (852) 2521-5118 ext. 804

Email: jaysim@pplesearch.com

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