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Draft/review legal and compliance documents relating to fund management, investment product and company level.
Provide advice to ensure all rules and compliance requirements are adhered by the business
Maintain and update all relevant compliance manuals, policies and procedures to ensure that they properly reflect applicable legal and regulatory requirements, best practices and Firm standards, and issue new policies and procedures in light of regulatory or business developments.
Provide compliance training to business units and infrastructure support functions.
Help manage contacts and relationships with regulators, ensuring that communications with regulators are open and constructive. (e.g. RO license application, SFC Type 1. 4. 6. 9 related issue)
Handle any other compliance matters as required for the operation of the Firm's businesses in Hong Kong.
Knowledge and Experience
Strong financial services compliance or regulatory legal background
Prior experience in providing in-house compliance or regulatory legal coverage for Asset Management is an advantage
Minimum 5 years of experiences in Legal & Compliance
Fluent in Mandarin is a must
Chinese Asset Management working experience is an advantage