Responsibilities:
- Drafting, reviewing, and negotiating legal documentation for investment transactions
- Implement compliance controls and monitoring programs
- Liaise with SFC and regulatory bodies and handle their queries, inspections, reports and licensing matters
- Monitor and review business activities, transactions, documentation and other records in ensuring the compliance with regulatory requirements
- Assist in preparing, drafting, and reviewing business agreement, contracts and compliance documentations
- Perform KYC and CDD review for counterparties, new and existing clients and assist in providing, preparing and drafting KYC and CDD documentations
- Perform further investigation on identified suspicious clients and their transactions and report to the Head of Legal and Compliance
Requirements:
- Bachelor degree in Law, Finance, or other related disciplines
- 5+ years of legal & compliance experience in financial services (preferably in asset management firms with SFC license type 4 and type 9)
- Fluency in English and Mandarin