Manager/Senior Manager of Legal and Compliance Department
Central, Hong Kong
Permanent
Full-time
21 days ago
Responsibilities:Ensure compliance with all relevant securities regulations and guidelines;Develop, implement, and maintain compliance policies and procedures tailored to Type 1, 2, 6, and 9 regulated activities;Ensure the firm’s compliance with CRS and FATCA reporting requirements;Monitor trading activities in FICC products to detect potential compliance issues;Collaborate with trading teams to provide compliance guidance on FICC transactions and strategies.Requirements:Degree holder in finance, accounting, law or related disciplines;5 -8 years of relevant experience working in securities brokerage;Fluent in English and Chinese (Proficiency in Mandarin will be an advantage);Immediately available is highly preferred.All applications applied through our system will be delivered directly to the advertiser and privacy of personal data of the applicant will be ensured with security.