Posted on: 2019-01-09

Job type: Permanent

Sector: Financial Services

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Our client is a Tier One Fund company at China and further develop AM firm at HK with Type 4, 9 license.

Head of Legal and Compliance, AM firm


* Update compliance policies and procedures and coordinate with business units to ensure due compliance with regulatory requirements;
* Perform surveillance exercise on internal controls and compliance procedures to ensure full adherence with internal policies and external regulatory requirements;
* Assist in handling licensing related matters, CPT activities and dealing with regulatory bodies, including SFC and HKEx, CSRC etc.;
* Assist in monitoring staff dealing activities and maintaining the Group's restricted list and watch list;
* Handle ad hoc duties as assigned by team head from time to time.
* Prepare up-to-date compliance training materials to managers and review contracts/agreements


* Minimum of 5-8 years' related work experience in asset management or compliance consulting company
* University degree in Law / Finance / Business or related disciplines
* Fluent in both spoken and written English, Chinese (Cantonese & Mandarin)
* Able to draft policies in simplified Chinese
* Self-motivated, independent and good sense of responsibility, good interpersonal skills
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Apply for Head of Legal and Compliance
Reference: HK143720

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