Job ref no.: CT3127784-01#0075
Don Nelson Recruitment Limited

Manager, Legal & Compliance (SFC Type 4,9)

Don Nelson Recruitment Limited

Key Responsibilities:

Drafting, reviewing and negotiating transactional legal documentation for investment transactions with or without assistance from external counsels

Demonstrate a clear understanding of portfolio construction, investment processes, risk management, legal and compliance regulatory practices 

Implement compliance controls and monitoring programs, including general compliance and investment compliance;

Formulate, review and update policies and procedures;

Liaise with SFC and regulatory bodies and handle their queries, inspection, reports and licensing matters;

Familiar with SFC licensing requirements, including approval application and notification obligations, hands on experiences to SFC online portal, perform online submission when necessary

Monitor and review business activities, transactions, documentation and other records in ensuring the compliance with regulatory requirements;

Assist in preparing, drafting and reviewing business agreement, contracts and compliance documentations, liaise and coordinate with outside legal counsels and professional services providers, handling decision making and resolutions end-to-end

Review and comments on marketing materials, monthly reports, market commentaries to ensure the compliance with regulatory requirements;

Provide day to day compliance advices and guidance to business units;

Conduct review and investigation in a wide variety of compliance related matters;

Involve in new product launch projects by providing compliance input;

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;

Perform further investigation on identified suspicious client and client’s transactions and report to Head of Legal and Compliance

Manage and provide compliance training; and

Perform ad hoc projects as required.


Bachelor degree in Law, Finance, other related disciplines

Minimum of 5 years relevant legal & compliance experience in financial services industry (preferably in asset management firms with SFC license 4 & 9)

Strong knowledge of SFC regulations, AML legislations and other relevant regulatory requirements, better with knowledge and experience in handling company secretarial documentations, corporate filing and submission, but not essential.

Hands on experience in dealing with regulatory bodies and compliance issues

Independent, self-initiative and good interpersonal skills, a team-player, results orientated, attention to detail and quality standards

Good command of written and spoken English and Chinese, fluent in Mandarin

More job information
Job ref no. CT3127784-01#0075
Job Function
  • Tsimshatsui
Employment Term
  • Full-time
  • 1 year - 10 years
Career Level
  • Middle management level
  • Degree