Manager, Legal & Compliance (BB-ED7DA)
Found in: Xpatjobs HK
Description:Responsibilities: Assist the CCO in performing legal & compliance function of overall discretionary asset management and investment advisory business of the Company; Assist the CCO with the Companys legal & compliance operations, including compliance with regulatory requirements in relevant financial markets, mainly HK, US, and to lesser extent mainland China, major European countries (e.g, UK & Ireland) and Cayman Islands; Support the Companys new product initiatives and existing products, which primarily target global institutional and professional individual investors in the above jurisdictions. Work closely with product team and senior management to support product development, marketing, and investors onboarding (AML/KYC/sanction screening) and on-going reporting processes; Work with the CCO to maintain and update existing legal and compliance policies, procedures, and risk controls, including but not limit to :- assist CCO to develop appropriate control points to ensure fulfillment of compliance obligations in investments, operations, and reporting; draft, review, and negotiate legal and contractual agreements; identify and prevent major legal and compliance risks; keep track of relevant regulatory developments and update the Companys compliance policies and procedures; Manage day-to-day compliance work and periodic regulatory filing for the Company and Funds and Products managed by the Company; Develop, implement and execute the compliance training program; Assist in operational risk monitoring. Requirements: University degree (or equivalent degree) holder in Law, Finance, Accounting or business-related disciplines Minimum 3-5 years legal & compliance experience in major law firms or compliance firms, asset management companies or public market fund management firms; Good knowledge on the SFC (Type 4 & Type 9) and/or SEC (RIA) licensing and compliance regimes and relevant legislation, rules and regulations, guidelines, and surveillance; Business acumen, excellent problem-solving skills; a self-teacher who can work both independently with accountability and as a team member; Good command of both spoken and written English and Chinese (Mandarin or Cantonese); ability to handle s legal documents in English and Chinese; Detail oriented, diligent and willing to keep learning.
calendar_today4 days ago