Assistant Director - Legal and Compliance

ResponsibilitiesPerform license applications, notifications, enquiries, complaints, surveys and maintain relevant recordsPerform transaction monitoring, trade surveillance, name screening and undertake investigations into any suspicious transactions reportedEstablish compliance monitoring programs and conduct regular reviews including staff dealing activities to identify potential compliance or internal control issuesPerform AML/KYC and account opening reviews including customer due diligence and periodic reviews for retail and institutional clientAdvise on compliance with FATCA and CRS reporting mattersReview marketing materials, client documentations and noticesConduct internal compliance trainings and maintain CPT recordsAdvise business on compliance issues in transactions and provide ongoing guidance to the business on compliance requirementsUndertake various ad hoc compliance projects and initiatives as required from time to timeProvide administrative support to the legal & compliance department by maintaining regulatory documentation, coordinating compliance activities, and ensuring accurate record-keeping to support regulatory adherence and reporting requirementsRequirementsDegree holder in Business, Finance, Law or other related disciplines4-6 years of legal and compliance experience in brokerage companies/regulatorProficiency in written and spoken English, Cantonese, and Putonghua is a mustExcellent communication and presentation skillsProactive working attitude and a team playerResponsible and able to work under pressureImmediately available is preferredWe offer competitive remuneration package & career prospects to the right candidate. Interest parties please apply with resume showing availability, current and expected salary by clicking “Apply".