Legal and Compliance Manager

Responsibilities

• Able to independently manage and provide compliance advice on AML and related assignments and issues, e.g. handle institutional risk assessments, CDD requirements, STR, selling process etc. from both Hong Kong and Cayman Island perspectives as well as both the Company or fund is an account holder or if the Company or fund has to onboard a client or counter party;
• Able to independently provide product compliance support for funds and investment vehicles (e.g. for SPC, SPV incorporated in offshore jurisdictions etc.) from company secretarial and FATCA / CRS reporting perspective, monitor the timetable and advise on relevant issues;
• With experience to support general compliance work, including but not limited to manage general licensing (licensed representatives, responsible officers, MIC, annual return, BRMQ and use of WINGS etc.) and ongoing notification matters;
• Support on compliance review and audit work such as develop and execute a risk-based annual compliance review plan, compliance review program and internal audit plan for the Company. Considering regulatory requirements, industry best practices, and emerging risks, conduct compliance reviews, monitor and report on compliance issues and trends. Conduct comprehensive internal audits of the Company's operations, processes, and controls to review and evaluate the effectiveness of internal control systems, risk management practices, and governance processes and to identify control weaknesses and recommend improvements;
• Handle other tasks as assigned from time to time such as keeping the firm abreast of regulatory development and conduct gap analysis if necessary, draft and review internal policies and provide day-to-day advisory support regarding adherence to the same and prepare various management reports etc.

• Bachelor's Degree holder or above in Law, Risk Management, Business Administration, Accounting or related disciplines;
• Qualified lawyer in Hong Kong (solicitor or barrister) is a plus;
• Minimum 3 years of experience in financial industry;
• Excellent literacy in Chinese (in particular writing) ;
• High computer literacy i.e. Word, Excel, PPT, etc.;
• Responsible, proactive, detailed-mind, good analytical and interpersonal skill, self-disciplined and well-organized;
• Good command in written and spoken English and Chinese including Putonghua.

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