Job duties:

• Participate in licensing matters and information requests from SFC and other local regulators.
• Perform daily compliance works about establishment, structure, maintenance, due diligence and management of authorized funds and private funds
• Assisting in reviewing simple business agreements and other legal documentations
• Organise the company's internal rules and policies in accordance with laws and regulations
• Perform and manage regulatory and general compliance issues, such as personal business, compliance training and other reporting and filing of regulations
• Provide KYC/CDD/ AML review and monitoring and review marketing materials.
• Liaise with regulatory authorities (mainly the SFC) and external counsels on inquiries and on-going reporting matters, esp. investment product related matters
• Ensure and provide monitor regulatory changes and developments in relation to businesses and products in respect of the relevant jurisdictions (including HK, mainland China and EU), evaluate the impact and notify head of Legal and Compliance
• Achieving and supporting ad hoc projects as requested
  
  

Requirement :

• Bachelor Degree in Law, Finance or Accounting or related disciplines
• Execute knowledge of SFC policies, AML legislation and other relevant regulatory requirements.
• At least 2-3 years of compliance experience in financial institutions and/or regulators with at least 1-2 years of expertise in business management; legal experience will be an advantage Provide high ethics and completeness in compliance with legal requirements & company regulations
• Providing hands-on experience dealing with regulatory bodies and compliance issues and experience in developing compliance framework and regulations.

• Perform good business acumen with good-learning and problem-solving skills and professional interpersonal and communication skills
• Proficiency in of written and spoken in English and Chinese