Posted on: 2018-05-14

Job type: Permanent

Sector: Financial Services

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An exciting opportunity to join one of the leading expanding financial institutions in Hong Kong.

The Company:

Our client is one of the leading and expanding financial institutions in Hong Kong. As they are looking to expand their brokerage and asset management business in Hong Kong, they are looking for a Legal and Compliance Manager to join their firm.


* Provide legal advice and support to the management and different business units
* Update different business units regarding relevant laws and regulations
* Draft, review legal contracts, agreements and other legal documents
* Formulate, develop and maintain internal guidelines, regulatory policies and procedures
* Liaise with regulators and handle SFC licensing matters
* Manage ad-hoc compliance issues in regards to business units


* Degree holder in Business Administration, Accounting, Finance, Law or related disciplines
* 4-5 years related compliance experience preferably from the brokerage firms
* Experience in developing compliance framework and policies
* Experience liaising and dealing with the SFC
* Strong command of written and spoken English and Chinese

To apply please click on the "Apply" button or contact Sarah Tran at quoting ref. no. HK135990. Your interest will be treated in strict confidence.
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Reference: HK135990

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