Company: Our Client is a started up Asset Management firm with SFC type 4, 9 license, backed by one of the top State Owned insurance firm in China. They are now expanding and looking for a high calibre candidate to join them as their Legal and Compliance Mana
- Reported directly to Head of Compliance and formulated business/operational plan, development efforts for the firm and executed various strategic initiatives for the company.
- 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;
- Manage all aspects of fund raising, investor relations and due diligence inquiries from compliance perspective.
- 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
- Assist on negotiations, on-boarding and capital activities from a compliance perspective.
- Oversee staffs licensing application process.
- Advise business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk
- Review and approve marketing materials
- Identify regulatory or reputational risks and escalate to senior management for resolution
- Responsible for all aspects investment policies and procedures to ensure in compliance with all regulatory requirement.
- Maintain operational infrastructure, processes and policies of the HK SFC Type4, 9 entity.
- Monitored daily business operation to ensure compliance and acted as contact point to SFC and other regulatory bodies.
- Minimum of 5 years of relevant experience in SFC type 9 licensed entity.
- Degree holder in related area, preferrably LLB, or Finance.
- Candidate who are qualified solicitor from any common law jurisdiction will have an advantage, but it is not a mandatory requirement.
- 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.
- Good command in Mandarin.
- Immediately available is preferred
- Friendly company culture.
- Competitive yearend bonus.
- Great annual leave package
- Great Career progression.
- Fully comprehensive medical insurance and personal insurance
- Great MPF Pension Scheme
For further information, please contact our Douglas Au at 2523 9994