Legal and Compliance Manager | 人才服务办公室

职位描述

Responsibilities:

• Identify & keep abreast on all legal and compliance requirements for a Hong Kong-based licensed fund management corporation (with authorization to conduct Type 1, 4, and 9 regulated activities)
• Assess and manage Capital Legal and Compliance matters, including personal account conflict management, and liaising with the Corporate Legal and Compliance team
• Prepare & assist in preparing filings and reporting to ensure compliance with SFC regulatory and filing requirements (Company and employees)
• Support the Compliance lead to update the firm on new and updated legal and compliance requirements and assist with developing, reviewing, and modifying policies and systems accordingly
• Assist with intra-group reporting and coordination with relevant stakeholders within the firm
• Provide guidance to management and employees on legal and compliance matters including interpretation of regulation and internal policy requirements
• Assist in other regulatory topics as needed, e.g., NDA, KYC/AML, FATCA/CRS, personal data protection, and other relevant matters

Skills And Abilities Required:

• Bachelor's degree required, preferably with an exceptional academic record
• Preferably a legal professional, or a member of a reputable relevant professional body (e.g., ACAMS)
• At least 4-8 years of experience working in a legal compliance role in a regulated financial institution, preferably with experience in asset management
• Experienced and knowledgeable with Hong Kong SFC regulations