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Job ref no.: CT3115413-01#3163

Legal & Compliance Officer

Bosera Asset Management (International) Co., Limited

Responsibilities:

  • Handles statutory filings and reportings to the relevant regulators
  • Maintain the statutory books and records of the company and manage the board resolutions of the company
  • Handle regulatory correspondence (including licensing matters) and liaise with the relevant regulators in different jurisdictions (e.g. SFC, CSRC, SEC, FSC, CIMA)
  • Monitor general compliance functions of the company including filing of returns,training records keeping, staff dealing policies, FRR review, etc.
  • Attend and provide company secretary services on management meetings and corporate level meetings
  • Assist to update compliance manuals and compliance checklists
  • Coordinate internally for internal and external audits
  • Perform KYC/AML surveillance and review account opening documents
  • Provide orientation training on compliance to new hires

 

Requirements:

  • Degree Holder in Law, Business, Finance or related discipline
  • At least 2 years compliance experience in financial services industry, preferably in asset management firm with knowledge in ETF, authorized funds and private funds
  • Company secretary experience in handling statutory filing, preferably with Chartered Secretary qualification
  • Familiar with SFC regulations, AML and other relevant legal and regulatory requirements
  • Strong report writing skills, in both Chinese and English
  • Solid communication skills, in Putonghua, Cantonese and English
  • Able to work under pressure, responsible, detail-minded, well-organized with good communication skills

 

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More job information
Job ref no. CT3115413-01#3163
Salary
  • N/A
Job Function
Industry
Employment Term
  • Contract
Experience
  • 2 years - 7 years
Career Level
  • Entry level
Education
  • Degree