Head of Legal & Compliance, Investment Bank, HK recruitment
Responsibilities:
-Manage the legal compliance, as well as company secretary functions.
-Develop proper controls, policies and procedures to ensure the Company complies with internal and external legal and regulatory requirements.
-Investigate escalated compliance issues, draft and review legal agreements and product documents.
-Implement, review and update compliance programs, internal control policies, procedures and guidelines including KYC, AML and Chinese-wall.
-Provide on-going advisory services to board of directors, management and business units on issues regarding compliance with companies ordinance, SFC regulations and banking ordinance, etc.
-Monitor and conduct regular compliance and risk reviews on business activities.
-Liaise with external vendors and regulatory bodies for enquiries, reporting, inspection or investigation.
-Develop and deliver appropriate training to staff and promote compliance awareness within the Company.
-Provide company secretarial services including organizing facilitating meetings of directors and general meetings, preparing board minutes and reports.
Requirements:
-Degree holder in law or other related discipline.
-Qualified lawyer with minimum 10 years or more relevant experience in legal or compliance function in financial service industry or regulatory body.
-Well versed with the SFC regulations, banking ordinance, companies ordinance and other regulatory requirements.
-Strong communication ability to interact well with management and business unit managers
-Self-motivated, highly independent with professional integrity.
-Good command of written and spoken English and Chinese (Native level fluency in Mandarin).