L-HK-3503 Compliance Counsel (Government & Statutory Organization)
Our client seeks a Compliance Officer/Counsel, to complement its existing Legal Department and Risk Management Department, and who will report to the Head of Legal Risk Management. Responsibilities include:Performing compliance testing to ensure regulatory obligations are met;Performing transaction monitoring and identifying suspicious transactions;Providing AML advisory to different business units;Reviewing and identifying changes in AML regulations;Develop and reviews compliance policies and guidelinesPromote compliance awareness and compliance culture of the Group including development and delivery of compliance trainingsImplement action plans, in particular to brokerage and investment bank businessesEnsure that new products conform to regulatory and internal compliance policiesAdvise management and business units on all compliance-related issues arising from business operationsWork closely with business, back office, front office, auditors and regulatory authorities on compliance issuesProvide support to the business on regulatory compliance mattersAssisting in ad-hoc projects as required
Requirements:
Degree holder in Law, Accounting, Finance or related discipline, with professional qualification is highly preferable.Minimum 6 years of relevant experience, preferably in buy side financial institutions such as Brokerage/ Securities/ Investment BanksStrong interpersonal and communication skills.Fluency in written and spoken Chinese and English a must, ability to speak other languages is a plus. Interested persons please quote ref: L-HK-3503 and send your full resume in word format with current expected salary to hongkong@recruit-legal.com
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