In House Legal Job Openings...


Interested parties, please forward your detailed resume in an MS WORD format to: inhouse.legal@topexecutive.com.


Hong Kong In House Legal Job Openings

Legal Counsel - Neg Our client, a major bank, is looking for a Legal Counsel (VP or above).

Requirements

• LLB from a top university in China and JD/LLM obtained from a highly renowned law school in the U.S.A
• Qualified to practice law in New York or California
• Knowledge and experience handling investment product documents and regulatory activities transactions are preferred
• Experience and qualifications within multiple legal jurisdictions
• 4-5 years solid experience dealing with legal affairs related to Capital Markets, IPOs, M&A, Securities, and other investment banking products
• Team player
• Excellent drafting and analytical skills
• High level of integrity
• Strong analytical and appraisal skills
• Detail oriented
• Independent
• Positive attitude and able to work under pressure
• Excellent interpersonal skills
• Fluent written and spoken English and Mandarin are mandatory

• Report directly to the global legal head
• Responsible for ensuring that the company’s overall activities comply with all relevant laws and regulations in Hong Kong (& Singapore)
• Participate in new business processes with the business, risk and compliance
• Handle company-wide legal and regulatory schemes.
• Draft and negotiate commercial contracts, liaise with external counsel and ensure compliance with the relevant regulatory bodies.
• Support risk management, corporate policy and compliance efforts

• 5+ yrs PQE and HK compliance experience in an investment bank or securities firm
• University degree in Law and Accounting/Finance
• Asset management experience is an advantage
• Familiar with relevant rules and regulations, code of conducts, etc. applicable to Hong Kong licensed corporation
• Independent and a good team player
• Strong analytical and evaluative skills, detail oriented.
• Good communication skills in Cantonese and English, fluency in Mandarin an advantage
• Knowledge of Singapore Compliance rules will be an added advantage

• Provide compliance related advice to business and functional units
• Develop and direct the compliance related functions of the company
• Conduct compliance reviews, and perform ongoing monitoring of procedures, ensuring that regulations and company policies are met
• Monitor business activities
• Ensure that AML processes and systems meet regulatory requirements and are in compliance
• Construct, review and revise internal policies and procedures
• Prepare and implement training programs for staff
• Develop and conduct training sessions internally on compliance related issues

• Monitor compliance issues and potential impact of regulatory trend and developments
• Plan compliance and control reviews and advise on ways to comply with regulation and policies
• Establish and maintain compliance procedures and polices
• Proactively identifying compliance issues & trends and establishing preventive measures
• Prepare compliance checking reports for senior management
• Review the current compliance controls of the Bank and identify proper actions for improvement if necessary
• Provide effective support and advice on ethical obligations / compliance related issues to the company
• Undertaking regular and ad-hoc compliance monitoring reviews

• University graduate with major in Finance or Accounting with professional membership of recognized accounting bodies.
• At least 6 years Compliance experiences in Banking
• Preferably with practical knowledge and experience in fix income
• Good knowledge in banking laws, operations, products and services.
• Familiar with the related regulations
• Strong verbal and written communications skills in English and Chinese, with the ability to communicate in Mandarin.
• Good Personal Computer Skills
• Candidates with less experiences will be considered for the post of Senior Officer/Officer