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Temp Paralegal (4 days/week) 4 months contract

by Stephanie Luy in Government & NGO    29th Jan, 2020    HKD 20k - HKD 25k

Our client is an international organization that serves investment management professionals with educational, ethical and certification programs.

The Temp Paralegal will provide support to the Director of Professional Conduct, APAC and the Special Investigator – Industry Matters in Professional Conduct, who conduct industry-related investigations and perform the functions related to Institute’s disciplinary proceedings.  This Paralegal will have the primary responsibility for assisting in confidential industry-matter investigations, managing timely various paralegal tasks, and conducting legal research in support of these investigations, disciplinary hearings, and any ad-hoc requests for the Professional Conduct group.  

 

Compliance Manager

by Varsha Mankani in Banking & Financial Services    17th Jan, 2020    HKD 35k - HKD 50k

Our client is a well established financial services firm. We are now seeking a Compliance Manager who will maintain various compliance policies and procedures.

  • Responsible for the regulatory compliance of the Investment and Securities businesses in Hong Kong & China.
  • Developing and monitoring effectiveness of the existing compliance function
  • Provide professional advice on regulatory aspects of transactions and services.
  • Mainly be responsible for Type 1 regulated activities
  • Provide advice to senior management regarding financing, compliance, regulatory matters.
  • Review policies, guidelines, procedures and practices on an ongoing basis.
  • Participate in ad hoc tasks as assigned.

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