Legal & Compliance (securities firm)

Responsibilities

• Provide guidance to the business on compliance issues related to transactions and ongoing compliance requirements.
• Advise on compliance matters and assess the potential impact of regulatory trends and developments.
• Offer practical compliance advice for various sectors, including retail and institutional brokerage, and global markets.
• Contribute compliance insights into the design and structure of new products, systems, and relevant documentation.
• Ensure the business implements effective procedures and controls to comply with all applicable regulations, laws, and codes.
• Review existing compliance controls, formulate, and update internal policies and procedures to meet regulatory standards, such as financial resource requirements and internal control matters.
• Establish and enhance a compliance monitoring program for the company's activities and conduct investigations into suspicious transactions reported by internal and external customers.
• Oversee the development of systems for tracking and monitoring regulatory risk, compliance with regulatory requirements, and adherence to internal policies.
• Identify compliance and internal control issues in the areas of Anti-Money Laundering (AML) and Counter Financing of Terrorism (CFT).
• Ensure compliance with applicable registration and licensing requirements.
• Promote compliance awareness among staff by providing relevant information, publications, and training on compliance matters.
• Undertake various ad hoc compliance projects and initiatives as required.

Requirements

• Bachelor’s degree in Business, Finance, Law, or related fields.
• Minimum of 5-10 years of legal and compliance experience in brokerage firms.
• Professional compliance and legal qualifications are preferred.
• Proficiency in written and spoken English, Cantonese, and Putonghua.
• Strong project management, communication, and presentation skills.
• Responsible, well-organized, with excellent communication and interpersonal skills, able to work under pressure.