Deputy Head of Legal and Compliance Department / Senior Legal and Compliance Manager

Responsibilities:

1. Strong capability to lead the department and manage the team independently;
2. Able to advise and communicate with internal stakeholders and external parties e.g. external lawyers;
3. Able to independently manage and handle general compliance work, including but not limit to manage licensing (licensed representatives, responsible officers, MIC, annual return, BRMQ and use of WINGS etc.) and on-going notification matters;
4. Able to independently manage and provide compliance advice on AML and regulatory compliance related assignment and issues, e.g. handle institutional risk assessments, CDD requirements, STR, selling process etc.;
5. Able to independently manage internal audits of the company's operations, processes, and controls to review and evaluate the effectiveness of internal control systems, risk management practices, and governance processes and to identify control weaknesses and recommend improvements;
6. Able to take lead on keeping the firm abreast of regulatory development and conduct gap analysis if necessary;
7. Able to draft and review internal policies and to provide day to day advisory support regarding adherence on the same;
8. Able to handle FATCA and CRS reporting and advise on relevant issues;
9. Provide support on preparing various management reports;
10. Handle such other tasks as assigned from time to time.

Requirements:

1. At least Bachelor's Degree in Laws Business Administration (Candidate from other disciplines such as Accounting, Finance, Risk Management may be considered if strong practical experience is possessed);
2. With at least 10 years of working experience in financial industry;
3. Good knowledge of compliance, AML and local regulations;
4. With knowledge and practical experience on company secretarial matters such as Hong Kong and offshore companies;
5. With knowledge and practical experience on FATCA/CRS reporting experience;
6. Qualification as a Hong Kong lawyer is a strong advantage;
7. Good report writing in particular in Chinese, analytical and interpersonal skills;
8. Responsible, proactive, detailed-mind, good self-disciplined and well-organized with good communication skills;
9. Able to work under pressure and a good team player;
10. Good computer literacy i.e. Word, Excel, PPT, etc..

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