Job ref no.: CT3129993-01#0015
SinoPac Asset Management (Asia) Limited

LEGAL & COMPLIANCE MANAGER

SinoPac Asset Management (Asia) Limited

RESPONSIBILITIES

  • Report to Head of Legal & Compliance
  • Provide legal and compliance advice and solution to management and departments 
  • Develop, draft and review a broad range of fund documentations, business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other documentations
  • Formulate and review general compliance manual and other internal policies and procedures
  • Keep abreast on regulatory developments and advise management and departments accordingly
  • Supervise the compliance team to monitor the Company’s operation and employee dealing, and perform compliance checking to ensure compliance with rules and regulations, and internal policies and procedures
  • Handle head office’s enquiry and reporting requirements and prepare ad hoc reports at the request of management
  • Coordinate with other departments on legal, compliance and company secretarial matters
  • Liaise with government bodies and handle regulators’ enquiry, notification requirement, reporting, inspection and investigation
  • Work with external lawyers and other professional advisers and deal with auditors
  • Provide in-house training on rules and regulations and promote compliance awareness in the Company 
  • Ensure proper handling and maintenance of licence applications, client complaints, CPT records and statutory records etc.
  • Ensure proper AML, FATCA and CRS internal policies and procedures are established and maintained
  • Perform ad-hoc assignments

REQUIREMENTS

  • Degree holder in Laws, Accounting, Business Administration or other related disciplines; qualified lawyer, accountant or chartered secretary preferred but not essential
  • Minimum 5 years’ relevant experience in financial institutions, professional firms or regulatory bodies
  • Familiar with asset management laws and regulations, SFC rules and regulations, Listing Rules and Companies Ordinance
  • Good understanding of financial products, FRR, FATCA and CRS is an advantage
  • Good command in both spoken and written English and Chinese (including Mandarin)
  • Less experience will be considered as Assistant Manager 

A competitive remuneration package will be offered. Please send your detailed resume, including present and expected salary as well as availability date, to Human Resources Department, c/o SinoPac Asset Management (Asia) Limited, 7th Floor, Lee Garden Three, 1 Sunning Road, Causeway Bay, Hong Kong, or by Apply Now.

All personal data collected will be used for recruitment purpose only and will be kept strictly confidential. Only short-listed candidates will be notified.

More job information
Job ref no. CT3129993-01#0015
Salary
Job Function
Industry
Location
  • Causeway Bay
Employment Term
  • Permanent
  • Full-time
Experience
  • 5 years - 10 years
Career Level
  • Middle management level
Education
  • Degree
Benefits
  • 5-day week
  • Dental plan
  • Medical plan