Legal and Compliance (Contractor role) Asset Management Firm

Position Overview​

This role provides essential support to the Legal and Compliance function within an asset management setting. The successful candidate will assist in KYC review, regulatory compliance, document review, and day-to-day compliance operations, ensuring adherence to legal standards and regulatory requirements.

Key Responsibilities​

1. Handle licensing applications, variations, and maintenance for the firm and relevant individuals.
2. Address inquiries and correspond with regulators, including the Securities and Futures Commission (SFC).
3. Review and submit regular regulatory reports to the SFC.
4. Conduct reviews of Know Your Client (KYC) documentation for investor onboarding.
5. Monitor staff personal account dealings and conduct routine compliance checks.
6. Support daily operational and administrative tasks within the Legal and Compliance department.
7. Assist in ad-hoc compliance projects and initiatives as required.

Qualifications & Skills​

1. Bachelor’s degree in Law, Finance, Business, or a related discipline.
2. 2-3 years of relevant experience in legal/compliance within asset management, banking, or a law firm.
3. Understanding of SFC rules and regulations, and fund structures.
4. Meticulous, proactive, and able to manage multiple tasks efficiently.
5. Strong command of written and spoken in Chinese/ Putonghua; proficiency in English is an advantage.