Head of Legal and Compliance

Responsibility

1. In charge of all legal & compliance matters for the group and report to the CEO;

2. Monitor and support all functions of sales and trading, investment banking, asset management and

direct investment to ensure compliance with applicable laws, regulations and internal policies;

3. Prepare, review and monitor agreements and legal documents relating to sales, trading, corporate anc

commercial transactions, etc. ;

4. Provide legal and compliance advice to management and all business units in supporting daily

business activities;

5. Advise the company and all business units on SFO, AMLO, listing rules, takeovers, IPOs, mergers

and acquisitions related matters, as well as the company's international and cross-border initiatives;

6. Provide compliance advice on matters such as SFO, listing rules, IPOs, takeovers, M&A and AML;

7. Collaborate with and respond to any queries and requests from regulators;

8. Develop and implement compliance programs for the company;

9. Provide compliance advice on any updates and changes in rules and regulations, industry and other

statutory requirements to the senior management and business units;

10. Ensure the conduct of the Company's operations and business activities are all held to the highest

ethical standards;

11. To act as the Manager-in -Charge of Compliance and AML;

12. Handle ad-hoc projects as assigned by management.

Requirements:

• University degree in Law, Accounting or Finance;

• 12 years or above legal or compliance experience gained from financial institutions or regulators;

• Working experience related to PRC background financial institution is an advantage but not a must;

•Leadership experience with efficient and effective communication skills to different levels of

management;

• Leadership experience and can work under pressure;

• Good understanding of Securities and Futures Ordinance, and other regulatory requirements;

• Excellent command of spoken and written English and Chinese