Head of Legal & Compliance - Reputable Asset Management Firm

Responsibilities

Report to the C-suite of the firm
Lead the team to review and implement the firm’s compliance policies and procedures
Perform regular investment compliance monitoring to ensure groups complying with relevant fund investment guidelines
Create and submit regulatory filings and lead on interactions with the local regulator
Coordinate, track, distribute, and review quarterly compliance certifications
Maintain internal controls to detect violations of company policies and procedures
Collaborate with Marketing team to provide compliance oversight related to RFIs, RFPs, DDQs, investment commentaries, presentations, and other materials
Partner with the business to review any event, meeting, corporate access requests that require review and approval
Review account opening processes and ensure clients adhere to SFC AML/KYC guidelines
Conduct compliance testing, compliance review, transaction monitoring and prepare compliance testing reports
Alert the senior management of any SFC regulatory developments that would require updates to policies and procedures
Educate staff on compliance related matters and enforce compliance policies
Keep current with any changes to regulations that would impact the Firm

Requirements

Degree holder in Business Administration, Law or related disciplines
Minimum 8 years of compliance experience at financial institutions, with related experience at asset management
In depth knowledge and understanding of SFC compliance requirements for an SFC regulated entity
Responsible, attention to details, well-organized with good communication skills
Fluent in English and Mandarin.

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