Overview
Legal & Compliance Officer Jobs in Hong Kong, Hong Kong SAR at SinoPac Securities (Asia) Limited
Title: Legal & Compliance Officer
Company: SinoPac Securities (Asia) Limited
Location: Hong Kong, Hong Kong SAR
RESPONSIBILITIES
- Report to Legal & Compliance Manager and Head of Legal & Compliance
- Provide compliance advice and solution to management and departments
- Develop, draft and review a broad range of business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other documentations
- Formulate and review general compliance manual, AML and other internal policies and procedures
- Keep abreast on regulatory developments and advise management and departments accordingly
- Monitor the Company’s operation and employee dealing, and perform compliance and AML checking to ensure compliance with rules and regulations, and internal policies and procedures
- Handle head office’s enquiry and reporting requirements and prepare ad hoc reports at the request of management
- Coordinate with other departments on legal, compliance and company secretarial matters
- Liaise with government bodies and handle regulators’ enquiry, notification requirement, reporting, inspection and investigation
- Work with external lawyers and other professional advisers and deal with auditors
- Promote compliance awareness in the Company
- Handle and maintain statutory records, licence applications, client complaints, CPT records etc.
- Perform ad-hoc assignments
REQUIREMENTS
- Degree holder in Law, Accounting, Business Administration or other related disciplines
- 2 years’ relevant experience
- Familiar with securities laws and regulations, SFC rules and regulations, Exchange Rules, Listing Rules and Companies Ordinance
- Good command in both spoken and written English and Chinese (including Mandarin)
- No experience will be also be considered
