Legal & Compliance Assistant

Job Duties:

• Process account opening with banks and related AML/KYC matters and company secretarial matters 
• Assist in items including but not limited to compliance checking and filing on a) investments/ funds/ investors/ staff dealing related matters b) disclosure filings with SFC and equivalents in other jurisdiction c) tax compliance and d) fund formation
• Support other compliance related initiatives including internal training, research, implementations of requirements of licensed activities, etc
• Maintain database and filing related to matters above
• Process payments of matters related to matters above

 

Relevant Qualifications & Attributes:

• A recent or imminent graduate in law or business undergraduate program
• Interested in fund management industry, eager to develop knowledge in securities and asset management related regulations
• PCLL candidate, or experience in compliance is a plus
• Proficient in word processing, presentation and spreadsheet applications. Fast learner in new applications
• Able to multi-task and manage large amount of information at ease in a well-organized manner

Good command of written and oral English and Chinese

Dedicated to work, well organized with high level of attention to details

 

Applicants should

• email his/her CV (in pdf files named as “FOTFirstnameLastname.pdf” eg. “FOTJohnChan.pdf”) with subject “Job Application - Legal & Compliance Assistant” to [email redacted, apply via Company website]
• answer to the below questions in your application:

1. 1) Describe in about 200 words why you are interested to start a career in compliance at a boutique fund management company
2. 2) Explain in about 200 words your knowledge in any one of the following topics:
3. a) Disclosure or interest in listed companies
4. b) KYC and AML regulations relevant to fund manager 
5. c) Insider Information
6. Refer to a recent case of breach of the above to illustrate your answer if you are aware of any

 

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