Head of Legal and Compliance- Asset Management
Job Description
Responsibilities
- Establish, implement and monitor compliance policies, procedures;
- Monitor day-to-day compliance responsibilities including SFC reporting, licensing, AML, KYC and general compliance duties;
- Formulate, review and update the operational procedures to ensure full regulatory compliance for internal & external audits and regulatory inspections;
- Supervise fulfilment of SFC license holders requirements of CPT training;
- Compliance of oversea investments by CIRC-regulated fund;
- Pre-trade Risk Control & Post-trade Compliance Monitoring;
- Assist in Product Design and Business Development;
- Regulatory reporting & Compliance updating.
Requirements
- Minimum 10 years of solid experience in buy-side asset management with public fund experience in capacity of compliance manager roles;
- Having sound knowledge of SFO and SFC codes & guidelines, CRS regulations and guidelines of relevant regulatory authorities and risk management controls;
- A holder of bachelor degree or above in Law, Finance, Accounting, Business or related discipline(s);
- Excellent command in both written & spoken English, Cantonese & Mandarin.