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  • 13 Oct 2022

    AVP / Manager, Legal and Compliance

    Hong Kong SAR

    Permanent Position
    Our client is a leading full licensed and well-established bank. They are currently looking for a high calibre Legal and Compliance Manager to join them

    Job Description


    • Excellent career exposure
    • Stable work environment



    • Ensure that the Bank Compliance Manual and all policies and procedures prepared by Legal and Compliance Department are kept up to date
    • Monitor the Bank's Wealth Management business (e.g. distribution of investment products and insurance business) are in compliance with the relevant rules, regulations required by the regulatory bodies in Hong Kong and Taiwan. This includes conducting regular compliance monitoring testing on a monthly and ad hoc basis if needed
    • Provide Legal, Risk and Compliance advisory to business teams, Head office from time to time
    • Provide legal supports to business teams arising from loan syndication, registration of charges, Terms and conditions and business operations
    • Draft, review, comment, and proof-reading commercial loan, outsourcing business agreements on regular basic
    • Implement the required corrective action and prepares the necessary rectification and mitigation reports to senior management for any regulatory and internal auditing issues
    • Prepare and ensure the accurate and timely submission of the Survey, Self-assessment and regulatory reports to the relevant authorities
    • Regularly liaise and communicate with regulators to ensure compliance concerns and management registration are immediately addressed
    • Coordinate and respond to queries from internal auditor, Head office as well as regulators
    • Lead and conduct training to enrich our staff awareness of the relevant rules, regulations and/or ordinances
    • Lead a team to oversee legal and compliance issues
    Expires on 31 Dec 2022

    Posted By

    Cay Li

    Tel: 6377 1286



    • University graduated in Finance, Law, Business Administration, or relevant disciplines
    • Minimum 5 years' experience in Compliance, banking, law firm practicing gained from financial institutions
    • Practicing law firm experience is welcome
    • Proficiency in both HKMA and SFC regulations, risk management processes, investment products and services
    • Detail-oriented, mature and able to work independently
    • Good communication and interpersonal skills
    • Previous working experience in a law firms and/or law degree background is highly recommended
    • Proficient in both written and spoken English and Chinese


    Interested applicants please contact me at 6377 1286 or send your resume to Cay Li:


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