Head of Legal and Compliance Head of Legal and Compliance …

ICBC Asset Management (Global)
in Hong Kong
Permanent, Full time
Last application, 03 May 21
Competitive
ICBC Asset Management (Global)
in Hong Kong
Permanent, Full time
Last application, 03 May 21
Competitive
Posted by:
Gerald Chau • Recruiter
Posted by:
Gerald Chau
Recruiter
1) Top-tier Chinese asset management firm 2) With 10 years' or above relevant legal and compliance experience in asset management 3) Familiar with Companies Ordinance, SFO, AML/CFT
  • Responsible for the legal, compliance and company secretarial functions of the company and its subsidiary company
  • Responsible for the formulation, development and maintenance of the firm-wide compliance framework, policies and procedures;
  • Act as advisor to management and business units on legal, compliance and company secretary issues with advices and solutions provided;
  • Act as the liaison with regulatory agencies, internal and external advisors, and other internal control groups on compliance related issues and ensure all business activities are in compliance with the relevant rules and regulations;
  • Take account of internal guidelines, policies and regulatory requirements for business activities to mitigate risk;
  • Ensure all marketing materials, commercial contracts, business agreements, accounting opening documents, board resolutions as well as other relevant documentations comply with regulatory requirements and interests / rights of the company and its subsidiary company are protected;
  • Establish an appropriate compliance culture throughout the company and its subsidiary company including the development of specialized training programs;
  • Provide strong leadership to the legal and compliance department to drive relevant initiatives across the business units effectively;
  • Ensure proper handling and maintenance of CPT records, license applications, company director applications and client complaints.

Requirements:

  • Bachelor's Degree holder or above in Law, Economics, Finance, Accounting or related fields;
  • With 10 years' or above relevant legal and compliance experience in financial industry especially in asset management industry;
  • Familiar with Companies Ordinance, SFO, AML/CFT Ordinance, CRS, FATCA and other relevant regulations;
  • Good knowledge in financial products and commercial practices for relevant SFC regulated activities;
  • Possess a proven track record in handling multi jurisdictions business activities will be an advantage;
  • Familiar with MS Office, strong communication and problem-solving skills are preferred;
  • Good command in written and oral English and Chinese including Putonghua.
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