Legal and Compliance，Contractor – Asset Management Firm

Position Overview​

This role provides essential support to the Legal and Compliance function within an asset management setting. The successful candidate will assist in KYC review, regulatory compliance, document review, and day-to-day compliance operations, ensuring adherence to legal standards and regulatory requirements.

Key Responsibilities​

• Handle licensing applications, variations, and maintenance for the firm and relevant individuals.
• Address inquiries and correspond with regulators, including the Securities and Futures Commission (SFC).
• Review and submit regular regulatory reports to the SFC.
• Conduct reviews of Know Your Client (KYC) documentation for investor onboarding.
• Monitor staff personal account dealings and conduct routine compliance checks.
• Support daily operational and administrative tasks within the Legal and Compliance department.
• Assist in ad-hoc compliance projects and initiatives as required.

Qualifications & Skills​

• Bachelor’s degree in Law, Finance, Business, or a related discipline.
• 2-3 years of relevant experience in legal/compliance within asset management, banking, or a law firm.
• Understanding of SFC rules and regulations, and fund structures.
• Meticulous, proactive, and able to manage multiple tasks efficiently.
• Strong command of written and spoken in Chinese/ Putonghua; proficiency in English is an advantage.