Head of Legal & Compliance

About the job 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.

Responsibilities

1. This position is appointed by the Board of directors and is accountable to the Board.
2. Lead the department of regulatory compliance, legal, general risk management and internal audit (or any department applicable).
3. Supervise the compliance and risk management of the company’s operation and management.
4. 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.
5. 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.
6. Exercise the power of reporting significant issues to the Board.
7. Keep abreast of the changes in regulations and policies of administration, parent firm and the group, and facilitate the management of parent firm and the group.

Requirements

1. Familiar with local securities and futures laws, exchange rules and regulatory policy.
2. 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.
3. Excellent verbal and written communication skills in both English and Mandarin Chinese.
4. Experience in managing various types of risks (i.e. credit risk, liquidity risk, operational risk) within a financial institution.
5. Sophisticated in dealing with legal, compliance and risk management issues of financial derivatives broker and market maker.
6. Master’s degree in law, finance, accounting or a related field is preferred.
7. Qualified to practice law in at least one jurisdiction is preferred.
8. CFA, FRM, ACCA and other professional qualifications preferred.