Job Description

•  Provide legal and compliance advice to management and business teams;
•  Help manage compliance function, including implementation of restricted list policies, personal account dealing and AML/KYC.
•  Review and update internal control policies and procedures and keep track of regulatory requirements;
•  Communicate and liaise with regulatory authorities;
•  Develop compliance training;
•  Draft and review agreements for Asset Management and Capital Markets and Advisory departments;
•  Assist in developing form legal and compliance documents;
•  Other duties as assigned by the COO & general Counsel.

Job Requirement

•  Bachelors degree in law;
•  2-4 PQE (HK/UK/PRC) with compliance experience;
•   A commitment to excellence;
•   Familiar with western legal system is highly preferred;
•  The ability to work independently and effectively as part of a small team;
•  Strong organizational and time management skills;
•  Able to work under pressure with multiple deliverables and competing deadlines;
•   A “can do” attitude and a willingness to roll up his or her sleeves and help building the Group’s business; 
• Good command of spoken and written English is a requirement; spoken and written Mandarin Chinese is a plus.