Manager - Legal & Compliance (asset management)

HK$55,000 - HK$70,000 /month

Job Highlights

• 5 years relevant legal & compliance experience
• from investment, asset management prefer
• legal documents drafting

Job Description
Manager - Legal & Compliance (investment management)

Key Responsibilities:

• Report to Head of Legal and Compliance
• Liaise with SFC and regulatory bodies, legal counsels and professional services providers to handle the queries, inspection, reports and licensing matters;
• To responsible for drafting, reviewing business agreement, contracts and compliance documentations, negotiating transactional legal documentation for investment transactions
• Assist in preparing, drafting and reviewing liaise and coordinate with outside , handling decision making and resolutions end-to-end
• Familiar with SFC licensing requirements, including approval application and notification obligations
• Monitor and review business activities, transactions, documentation and other records in ensuring the compliance with regulatory requirements;
• Perform further investigation on identified suspicious client and client’s transactions
• To implement compliance controls and monitoring programs, including general compliance and investment compliance;
• Perform KYC and CDD review for counterparties, new and existing clients, assist in providing, preparing and drafting KYC and CDD documentations as per the request from counterparties;

Requirements:

• Bachelor degree in Law, Finance, other related disciplines
• Minimum of 5 years relevant legal & compliance experience in financial service sector, with experience gained from asset management firms with SFC license 4 & 9 is preferred.
• Strong knowledge of SFC regulations, AML legislations and other relevant regulatory requirements
• Good command of written and spoken English and Chinese, fluent in Mandarin
• Immediately available is preferred