Head of Legal and Compliance Head of Legal and Compliance …

HARBRIDGE PARTNERS
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 23 Sep 19
Competitive
HARBRIDGE PARTNERS
in Hong Kong, Hong Kong, Hong Kong
Permanent, Full time
Last application, 23 Sep 19
Competitive
Our client is a leading, full-service securities, asset management and capital markets investment banking firm. It is now seeking a Head of Legal and Compliance to manage an existing team.

The position will be responsible for providing strategic counsel:
 Transactional matters such as capital markets transactions,

 Provide legal and compliance advice and support to the senior management and different
business units such as Securities Brokerage, Corporate Finance and Asset Management etc.;

 Formulating management policies

 Reviewing and drafting business contracts

 Advising on the effectiveness of core operational controls etc.

 You will oversee the overall compliance monitoring and KYC function of the company, and
act as the MIC of the Compliance Department

 Advise on compliance aspects relating to securities, corporate finance, licensing and related matters.

 Ensure all activities in the company are in compliance with Securities & Futures Ordinance by assessing impact of regulatory changes and advise on updating compliance policies and procedures in accordance with the relevant laws, guidelines and regulatory requirements, stay up to date on any regulatory changes, and ensure that any business is compliant with existing/new regulations.

 Monitor the dealing and trading activities in the securities markets and perform trade
surveillance.

 Prepare and maintain an annual Compliance training plan which addresses employee needs and Compliance requirements.

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