Legal & Compliance Officer I Hong Kong I #LVC

Hong Kong, Hong Kong, Hong Kong Posted: Oct 06, 2021

Job Description

Job Responsibilities:
 Provide ongoing compliance advice and support business initiatives
 Monitor regulatory changes and update the policies and procedures
 Handle regulatory reporting and inquires with the relevant exchanges, SFC and other regulators
 Prepare and review compliance manuals, policies, procedures and systems to keep abreast of new
and regulatory changes
 Manage internal and external audit, inspections and investigations from the auditors, exchanges
and regulators
 Liaise and collaborate with different departments to formulate, drive and implement remediation
of compliance issues
 Conduct in-house compliance training
 Handling SFC licensing application, licensing matters, CPT requirement management etc.
 Assist in ad hoc projects as required

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