Job ref no.: CT3129381-01#0097
Captar Partners

Manager - Legal & Compliance (asset management)

Captar Partners

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;


  • 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
More job information
Job ref no. CT3129381-01#0097
  • 55,000 - 70,000 / month (negotiable)
Job Function
Employment Term
  • Full-time
  • 5 years - 10 years
Career Level
  • Middle management level
  • Degree