Senior Associate/ Vice President

We offer attractive remuneration package ( discretionary bonus ),5-day work, competitive fringe benefits ( wedding leave, body check, group medical insurance, dental insurance etc. ) and excellent career development opportunity to the right candidate.

 

Responsibilities

1. Assist/advise different lines of businesses on various compliance issues, including the registration of new entities and where necessary assist in managing the application process from the appropriate authorities. Providing licensing advice on individual license applications, providing constructive feedback on investment management related structures

2. Providing support with respect to a variety of compliance matters to the Head of Compliance & Legal Affairs, including but not limited to line of business compliance, with a focus on asset management compliance, providing reliable advice to the business regarding Asset Management and Private Equity matters; firm-wide AML & sanctions framework enhancements; and helping manage the internal processes related to the general governance framework.

3. Liaising closely with front & middle office functions in relation to the firm’s pre-trade & post-trade surveillance program for the brokerage & asset management business & proprietary trading desk.

4. Working closely with the Head of Compliance and Legal Affairs Department on new business initiatives from the proprietary investment business, including providing product specific advice and enhancing the existing governance structure.

5. Conducting compliance reviews, drafting reports and implementing remedial action steps in connection to any findings related to compliance reviews, and managing any potential conflicts of interest which may arise. Working alongside the Head of Compliance & Legal Affairs to ensure the maintenance of a sound compliance framework, including updating policies and procedures to ensure adherence with latest regulations.

6. Providing legal advice (for qualified applicants only) in relation to legal matters & due process. Drafting internal documents in relation to derivative products & opining on external legal documentation to the extent that it is necessary to support business endeavours.

7. Liaising with external parties, including regulators, auditors, external counsel and industry peers regarding compliance developments

8. Assist in ad-hoc compliance tasks such as FATCA & CRS reporting, regulatory requests & surveys, liaising with company secretary with respect to any relevant changes, corporate finance IPO transaction independence checks, assist in conducting annual reviews Sponsor IPO transactions

 

Requirements:

1. Bachelor degree of a relevant discipline;
2. At least 3 years of relevant experience in asset management compliance or with a regulatory body; or 1-3 years PQE in Hong Kong and a law degree from a recognized common law jurisdiction
3. Sound knowledge of SFC authorized funds, Fund Manager Code of Conduct, Code on Unit Trusts and Mutual Funds;
4. Ability to work well with various business units and internal teammates;
5. Fluency in verbal and written English and Chinese.

 

Interested parties please send CV, to the Human Resources Department by clicking “Apply”

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