VP Legal and Compliance 60k (Securities/ Finance)

• • Advise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirements
  • Advise on compliance issues and potential impact of regulatory trends and developments
  • Provide practical compliance advice for business such as retail and institutional brokerage, global markets business
  • Perform license applications, notifications, enquiries, surveys and maintain relevant records
  • Perform trade surveillance and regular reviews to identify potential compliance or internal control issues
  • Establish compliance monitoring programs and undertake investigations into any suspicious transactions reported
  • Perform AML/KYC and account opening reviews including customer due diligence and periodic reviews etc
  • Review client documentations and marketing materials
  • Conduct internal compliance trainings and maintain CPT records
  • Provide compliance advice on new product development, systems and business initiatives relating to retail and institutional business
  • Implement adequate compliance controls to ensure stakeholders and business unit comply with applicable rules and regulations
  • Establish comprehensive compliance framework and update policies and procedures to ensure compliance with the regulatory requirements
  • Undertake various ad hoc compliance projects and initiatives as required from time to time

• Degree holder in Business, Finance, Law or other related disciplines
• 5-8 years of legal and compliance experience in Securities Firm, brokerage companies/regulators
• Proficiency in written and spoken English, Cantonese, and Putonghua is a must
• Excellent communication and presentation skills
• Proactive working attitude and a team player
• Immediately available is preferred

Information :

• Company : ManpowerGroup
• Position : VP Legal and Compliance 60k (Securities/ Finance)
• Location : Hong Kong
• Country : HK