Legal and Compliance Manager (Fund House) Legal and Compliance Manager (Fund House) …

in Hong Kong
Permanent, Full time
Last application, 28 Oct 20
Around HKD65,000 per month
in Hong Kong
Permanent, Full time
Last application, 28 Oct 20
Around HKD65,000 per month
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

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