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Take charge of investment fund registration and applications, from preparation of application documents to liaison with different parties including regulators, trustees, and external legal advisers, etc.
Handle non-compliance issues concerning investment mandates and SFC-authorized funds
Review marketing materials to ensure compliance with applicable regulations
Update internal compliance policy in light of latest fund regulation developments
Provide compliance advice and solutions to product team, sales and marketing team and operation team on various subject matters
Handle licensing matters such as licensing representative applications, Manager-in-charge notifications, etc.
Draft and/or review distribution agreements and investment management agreements
Minimum 5 years of relevant experience
Previous employment at the Hong Kong SFC, Taiwanese FSC or one of China's financial services regulators is highly preferable
Degree holder preferably in Law, Accounting or business-related disciplines.
Self-motivated, independent, pleasant personality with good communication skills, able to communicate effectively at all levels.
Good command of written and spoken English and Chinese (including Putonghua)