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.
Requirements
- 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.
