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Recruit Ref: L050324223
Posting Date: 2022-09-29

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Director of Legal & Compliance (RA 1,2,4,6,9)


  • Lead the development and implementation of the Group compliance programs to assess and monitor the adequacy and effectiveness of regulatory compliance controls
  • Oversee the Legal & Compliance function in relations to Group business, including banking, securities brokerage and insurance broker
  • Develop, enhance and validate enterprise-wide risk management framework, policies and guidelines
  • Conduct and articulate risk controls measurement and evaluation report with correction action plan for senior management review
  • Provide legal advisory and compliance support to business units regarding the policies and procedures, operational manuals, financial products and business propositions
  • Draft and review legal contracts and agreements to cope with daily operations
  • Liaise with internal and external stakeholders / regulatory bodies on legal and compliance issues
  • Deliver regulatory related training and maintain a sound control culture within the Group
  • Keep abreast of updated regulatory rules and legal requirements in relation to various business units
  • Perform ad-hoc assignments as required


  • Degree holder in legal or related disciplines
  • 15+ years of solid legal & compliance experiences, preferred in banking and securities industry with risk management exposure
  • Solid legal background with good knowledge on financial products and services
  • Ability to work in a multi-faceted environment and sensitive to divisional business issues
  • Self-motivated with strong presentation, people management and problem solving skills
  • Strong communication skills in fluent English and Chinese

Banking / Finance / Securities / Investments 
Job Position Level:
Employment Term:
Full Time 
Min. Edu. Level Req:
Minimum QF Level attained:
Total Working Exp:
-- (Monthly)
Central & Western District
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