Head of Legal & Compliance

Client

 

A public listed financial services provider specializes in commodities futures brokerage, financial futures brokerage, futures investment consulting, asset management business and fund sales, etc.

 

Responsibilities

 

·         This position is appointed by the Board of directors and is accountable to the Board.

·         Lead the department of regulatory compliance, legal, general risk management and internal audit (or any department applicable).

·         Supervise the compliance and risk management of the company’s operation and management.

·         Supervise the establishment of risk management framework and policies, assess the company’s risk management procedures and review the efficiency and robustness of the entire mechanism.

·         Examine the compliance of the company’s policies, rules and new business lines, facilitate the forming of policies and procedures that adhere to relevant rules, laws, regulations and administration requirements.

·         Exercise the power of reporting significant issues to the Board.

·         Keep abreast to the changes of regulations and policies of administration, parent firm and the group, and facilitate the management of parent firm and the group.

 

Requirements

 

·         Familiar with local securities and futures laws, exchange rules and regulatory policy.

·         At least 3 years of relevant financial broker，market maker or regulator experience which should include 2 years of risk, legal and compliance, or audit experience and managerial or supervisory experience.

·         Excellent verbal and written communication skills in both English and Mandarin Chinese.

·         Experience in managing various types of risks (i.e. credit risk, liquidity risk, operational risk) within a financial institution.

·         Sophisticate in dealing with legal, compliance and risk management issues of financial derivatives broker and market maker.

·         Master’s degree in law, finance, accounting or a related field is preferred.

·         Qualified to practice law in at least one jurisdiction is preferred.

·         CFA, FRM, ACCA and other professional qualifications preferred.