Associate / Senior Associate (Compliance & Legal)

Our client, an integrated financial services group is looking for suitable candidate to join their elite team-




Responsibilities
-Support Investment Banking Department maintain an effective compliance and control system, administrate all functional documentation and crucial / statutory records to meet the business objectives and legal compliance.
-Coordinate Self-Assessment and Sarbanes-Oxley program with internal departments
-Coordinate regular trainings related to compliance issues including Money Laundering, Personal Data Protection, etc.  
-Maintain an effective compliance and control system by updating directorship and company chart, anti-terrorist financing sanction list, registers of customers’ compliant, JFIU, ICAC, HKPF in compliance with HK Monetary Authority, SFC registration or other statutory requirements.
-Maintain proper filing of updated company policies and procedures. 
-Keep abreast with the banking related legislations and other regulations, assist to identify any compliance risks and measures.
-Provide administrative support to the department.
-Strictly adhere to the Company policies, procedures and ethical requirements, ensure the operation of daily activities are ethically and legally complied.
-Support and participate in various ad hoc assignments or projects.


 
Requirements
-Minimum 5 years in house working experience in legal firm, banking or finance industry.
-Knowledge in SFC Ordinance, Company Ordinance & banking regulations. 
-Knowledge in company secretarial matters is advantage.
-Strong communication and analytical skill.
-High integrity, initiative and able to work independently. 
-Good command of English, Chinese and Putonghua.
-Proficiency in MS Office application.

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