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

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

Responsibilities:

  • 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.

 

Requirements:

  • 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

 

Benefits

  • 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
da@harbridgepartners.com
consultants@harbridgepartners.com

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