Legal and compliance , Assistant Manager/Manager

Job Title: Legal and compliance , Assistant Manager/Manager
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: 48683_1638416649
Contact Name: Jessie Chan
Contact Email:
Job Published: December 02, 2021 11:44

Job Description

About Our Client

My client is an investment management firm, with a strong leadership and increasing volume, business and capital the business is looking to capitalise and continue on it's growth trajectory. They are now seeking a legal and compliance professional to join their legal and compliance team.

About The Role

  • Drafting, reviewing and negotiating transactional legal documentation for investment transactions;
  • Implement compliance controls and monitoring programs, including general compliance and investment compliance;
  • Liaise with SFC and regulatory bodies and handle their queries, inspection, reports and licensing matters;
  • Formulate, review and update policies and procedures;
  • 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 external legal counsels and professional services providers
  • 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
  • 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 3 years relevant legal & compliance experience in financial services industry (preferably in asset management firms with SFC license 4 & 9)
  • Hands on experience in dealing with regulatory bodies and compliance issues
  • Strong knowledge of SFC regulations, AML legislations and other relevant regulatory requirements
  • Good command of written and spoken English and Chinese, fluent in Mandarin

Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.