HK$55,000 - HK$70,000 /month
Job Highlights
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5 years relevant legal & compliance experience
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from investment, asset management prefer
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legal documents drafting
Job Description
Manager - Legal & Compliance (investment management)
Key Responsibilities:
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Report to Head of Legal and Compliance
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Liaise with SFC and regulatory bodies, legal counsels and professional services providers to handle the queries, inspection, reports and licensing matters;
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To responsible for drafting, reviewing business agreement, contracts and compliance documentations, negotiating transactional legal documentation for investment transactions
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Assist in preparing, drafting and reviewing liaise and coordinate with outside , handling decision making and resolutions end-to-end
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Familiar with SFC licensing requirements, including approval application and notification obligations
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Monitor and review business activities, transactions, documentation and other records in ensuring the compliance with regulatory requirements;
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Perform further investigation on identified suspicious client and client’s transactions
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To implement compliance controls and monitoring programs, including general compliance and investment compliance;
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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:
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Bachelor degree in Law, Finance, other related disciplines
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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.
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Strong knowledge of SFC regulations, AML legislations and other relevant regulatory requirements
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Good command of written and spoken English and Chinese, fluent in Mandarin
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Immediately available is preferred