- Exciting opportunity
- Broad exposure to a variety of work and projects
About Our Client
Best in class Asia focused private and public market businesses.
- Monitoring and advising on regulatory compliance matters of the funds, including authorised funds and private funds;
- Supervising investment compliance activities specifically, establishing, updating and revising investment guidelines and attending to pre-trade and post trade compliance matters;
- Being the main point of contact for regulators relations, including Hong Kong SFC and PRC AMAC;
- Supervising the AML compliance, review AML and CFT policy for on-going CDD review; undertaking reviews of suspicious activities and conduct transaction monitoring surveillance awareness sessions;
- Delivering compliance training to the business including, distribution team, new joiners, executives etc.;
- Developing and implementing compliance programs, policies, procedures and controls;
- Providing legal, regulatory, transactional advice and support to the investment management business in Hong Kong.
The Successful Applicant
- 8+ years of legal and/or compliance experience gained in top tier financial institutions, law firms and asset managers;
- Solid experience with SFC rules and regulations and relationship management;
- On top of local regulators any regional regulatory exposure or dealing with regulators within the region would be a plus;
- Ideally native Mandarin and English language skills;
- Outstanding academic background from top tier Universities;
- Strong interpersonal skills and the ability to successfully engage with all stakeholders;
What's on Offer
Exciting opportunity to join a well established team of top-tier professionals.