Client is one prestigious Chinese financial institution, currently is licensed under the SFC to conduct Type 1 (Dealing in Securities), Type 4 (Advising on Securities) and Type 9 (Asset Management) regulated activities, directly report to CEO.

Job responsibilities

• Track and control the Group's regulatory activities and procedures, ensuring regulatory with internal policies and international regulations;
• Implement a manual on compliance, evaluate and periodically update policies and procedures;
• Handle SFC and company divisions compliance issues and information requests;
• Providing business divisions with legal advice and guidelines, such as wealth management, private equity and corporate finance, so as to ensure compliance with SFC regulations, rules and rules;
• Drafting, editing, negotiating and guiding deals, contracts, and documents;
• Conduct business unit compliance trainings and provide management advice;
• Other ad hoc projects as per required

Requirements

• Master / bachelor's degree holder majoring in Law or any other related disciplines with at least 5 years solid experience in asset management / corporate finance
• Familiar with legal documents handlings and business unit license applications
• Sound knowledge in Type 1, 4, 9 related regulations
• Organized, self-motivated and independent
• Good interpersonal skills with good communications skills
• Both Written and Spoken proficiency in English and Chinese (including mandarin) is required