AVP/VP, Legal & Compliance

Role Overview

Bring your expertise as an AVP/VP of Legal & Compliance to our dynamic Hong Kong asset management and securities business. You will drive investment compliance and risk controls and serve as vital teammate for general regulatory matters under SFC Type 1, Type 4, and Type 9 regulated activities.

Key Responsibilities

1. Investment Compliance: Execute robust pre- and post-trade controls, monitor tracking errors, and manage rapid breach escalation.
2. Regulatory & AML: Conduct client and counterparty due diligence. Assist in maintaining and updating compliance policies, procedures, and controls that meet SFC, AML/CFT, KYC/EDD, AEOI, CRS, and FATCA standards.
3. General Compliance: Assist in SFC regulatory filings, returns, and notifications. Support internal control assessments and follow up on remediation actions.
4. Assist with internal and external audits. Prepare internal control assessments. Follow up on remediation actions as required.
5. Prepare and deliver compliance training materials and programs. Monitor regulatory developments and provide timely updates to senior management.
6. System & Automation: Collaborate with the team to streamline compliance workflows. Handle data cleansing and exception management.
7. Drive legal, compliance, and regulatory projects as new challenges arise.

Requirements

1. Bachelor’s degree or above in Law, Finance, Accounting, or a related discipline.
2. 3-6 years of compliance experience in asset management, securities, or private fund firms.
3. Hands-on experience with SFC Type 1, Type 4, and Type 9 licensing, regulatory reporting, compliance monitoring, and staff dealing matters.
4. Strong understanding of SFO, AML/CFT, KYC/EDD, fund governance, and investment standards.
5. Familiarity with funds, collective investment schemes, and compliance systems preferred.
6. Excellent communication skills in English and Chinese. Fluency in written and spoken English, Mandarin and Cantonese is preferred.
7. Detail-oriented, proactive, and able to work independently or collaboratively in fast-paced environments.
8. Immediate available is an advantage

Additional Information

1. Personal data collected will be used solely for recruitment-related purposes and handled in accordance with applicable privacy requirements.
2. Shortlisted candidates may be contacted for further assessment.
3. Please apply with your full CV, including your current and expected salary.

What we offer:

1. Competitive benefits package including medical and dental insurance coverage
2. Discretionary bonus
3. 5-day work week