Compliance Division, Regulatory Affairs, VP, Hong Kong recruitment
Recruiting a VP to become an integral member of the Regulatory Inquiries, Audit Reporting team. This position focuses on regulatory inquiries, inspections and exams. Another core pillar of this role is advisory in regulatory reporting and position monitoring to Regulatory Operations and advisory to Business on AEJ disclosure regime relating to beneficial ownership and takeover rules.Ancillary to this role are regulatory affairs functions such as maintaining regulatory relationships and interactions in AEJ, coordinating regulatory consultation comments, track regulatory policy changes and drafting, Read more […]
Head of Compliance – Leading Securities House recruitment
About Our ClientAn excellent opportunity has arisen for an experienced compliance candidate to join their dynamic and stable team based in Hong Kong.Job DescriptionReporting to the COO, you will be responsible for:Formulating and reviewing compliance policies and conducting compliance checkingMonitoring the Group’s operational procedures and activities to ensure adherence with regulatory requirementsAdvising management and the business on compliance issues and regulatory trendsActing as the contact person with various regulatory bodies and answering any inquiries from regulatorsProviding Compliance Read more […]
Legal Adviser/Senior Legal Adviser recruitment
JOB TITLE: Legal Adviser/Senior Legal AdviserDEPARTMENT: LegalLOCATION: Hong KongPosition SummaryReporting to the regional Head of Legal, the successful candidate is accountable for providing legal support to the business and other support departments in their daily operations and in their development initiatives, including providing legal advice on product development, customer transactions, and guidance on cross-border as well as domestic issues. He/she will also be responsible for drafting, advising and negotiating Read more […]
Research Compliance recruitment
In the role you will:Monitor relevant rules and regulations in the Asian regionAssist with the development and implementation of compliance policies and proceduresDevelop and deliver trainingConduct reviews to test compliance with policies and proceduresTo be successful you will have:5 years of relevant compliance experience gained from a similar roleExperience in investment research complianceSound knowledge of relevant regulations and compliance practices across Asia and ChinaStrong English communication skills (oral and written), fluency in Chinese would be helpful but not essentialFor more Read more […]
Legal Secretary (Ref# LS/EL170812) recruitment
My client, one of the worlds leading law firms, currently has an urgent requirement for an experience Legal Secretary to join its Hong Kong office.As their Legal Secretary you will work specifically for Fee Earners, Professional Support Lawyers and Trainee Solicitors and will be responsible for PA and secretarial duties including diary management, coordinating travel arrangements, answering calls and drafting correspondence. You will also be responsible for liaising with and building good relations with external and internal clients and their secretaries as well as assisting other secretaries when Read more […]
MD/Exec Dir – Deputy GC, Asia recruitment
My client is a premier Asian investment bank currently in high growth mode. They are now looking for a seasoned banking lawyer to join the regional management team in the newly created position of Deputy General Counsel.The primary focus of the role will be to support the Principal Finance business globally, though the successful candidate will also cover structured finance, derivatives and onshore RMB funds work. Strong China-focused transactional experience is important and the ability to speak fluent Mandarin is essential. In-house experience with a top-tier investment bank is preferable though Read more […]
Brokerage Compliance Officer recruitment
Responsibilities: Handle various regulated activities license application with the SFC Ensure compliance with all laws, rules regulations set forth by the SFC Advise the Company on the internal and regulatory compliance issues relevant to the securities industry Perform AML/KYC checks Handles employee licensing matters Ensure that the firm’s policies, procedures and practices are in compliance with all applicable laws and regulations. Contribute to the design, establishment, implementation, and revision of compliance systems, polices and procedures. Perform regular and ad hoc monitoring reviews Read more […]
AML Compliance Manager recruitment
In the role you will:Advise on AML policyWork with country compliance teams to ensure relevant procedures are kept up to dateTrain various stakeholders on AML and financial crime riskLiaise with global counterparts on a uniformed approach to AMLAssess risk alongside the internal audit teamTo be successful in the role you will have:Significant experience working with financial institutions at a senior levelPrevious experience working within complianceHad exposure to AML and financial riskA minimum of 7 years experience working within bankingFor more information please contact Stefanie Nitze on +852 Read more […]
Legal – IPO Advisory recruitment
Purpose of the role:The successful candidate will steer the development and execution of client transactions ranging from acquisition finance, capital management, product structuring and capital rising to ensure a high level of quality and integrity throughout the development and execution of transactions.Critical Competencies:Applicants should have at least eight years’ post qualification legal experience within the corporate or capital markets department of a recognised law firm in this field of the law. Experience dealing with Hong Kong listed companies, pre IPO due diligence, advising on the Read more […]
Securities Finance Counsel recruitment
Purpose of the role:The successful candidate will provide legal advice to the Securities Finance and Global Markets business for the APAC region and will be responsible for leading negotiations in securities lending programs and proprietary e-platforms as well as drafting documentation to give effect to the transaction. Such documentation to include ISDA and FX agreements; transition management services agreements and principal, negotiating lender and borrower agreements including GMSLA, tri-party escrow agreements.Critical Competencies:Applicants should have at least six- seven years’ post qualification Read more […]