Senior Legal & Compliance Officer

Responsibilities:

• Act as the MIC, MLRO and complaints officer of the Company for the RA1, 2, 4, 5
• Cooperate with and advise on different business units in the group company including securities and futures brokerage business, asset management business, etc;
• Liaise with HQ staff and complete the assigned tasks including preparing written plans, reports & providing documents to the HQ;
• Monitor overall business operation and conduct AML/KYC/Compliance auditing to ensure compliance with internal policies and external regulations;
• Advise and review account opening processes;
• Handle requests from SFC and foreign regulatory authorities;
• Promptly prepare and submit reports including LOP & OCR, etc to and handle requests from global exchanges, regulators and governments;
• Write, implement, review and update policies, manuals and procedures for existing and new business to ensure due compliance with regulations;
• Handle Exchange membership and regulatory licensing applications, and work to ensure all ongoing obligations are fulfilled
• Coordinate with external counsels with respect to legal and regulatory issues;
• Prepare, review and amend legal documents, business contracts, agreements, correspondence and any other documentation to fit the needs of the company for including but not limited to regulated activities.
• Knowledge and experience towards import/export business and OTC derivatives trading would be advantageous

Requirement:

• Degree holder with 2 - 4 years of compliance experience in securities/futures brokerage/asset management industry;
• Knowledge in SFO, HK Ordinance and foreign regulatory requirements;
• Organized, accurate and detail oriented;
• Strong command of both written and spoken in English and Chinese, fluency in Putonghua is highly preferred;
• Candidates with legal background will be an advantage.

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