Legal and Compliance Manager

5 days ago


Hong Kong Island, Hong Kong SAR China ICBC Asset Management (Global) Company Limited Full time

Legal and Compliance Manager (Compliance-oriented) Responsible for independently managing and providing compliance advice on AML and related assignments and issues, including institutional risk assessments, CDD requirements, STR, selling process, etc., from both Hong Kong and Cayman Island perspectives. Provide product compliance support for funds and investment vehicles (e.g., SPC, SPV in offshore jurisdictions) from company secretarial and FATCA/CRS reporting perspective, monitor timetables, and advise on relevant issues. Support general compliance work, including managing general licensing (licensed representatives, responsible officers, MIC, annual return, BRMQ, WINGS, etc.) and ongoing notification matters. Support compliance review and audit work such as developing and executing risk-based annual compliance review plans, compliance review programs, and internal audit plans. Conduct compliance reviews, monitor and report on compliance issues and trends, and conduct internal audits of the Company’s operations, processes, and controls. Handle other tasks as assigned, keep the firm abreast of regulatory developments, conduct gap analyses, draft and review internal policies, and prepare various management reports. Requirements Bachelor’s Degree in Business Administration, Accounting, Finance, Risk Management, Law or related disciplines (other disciplines considered if practical experience). At least 3 years of experience in compliance, company secretarial or internal control functions (exposure to asset management preferred). Good knowledge of AML requirements (mandatory) and compliance, FATCA/CRS, company secretarial (Hong Kong and offshore jurisdictions) and other local regulations. Good report writing, analytical, interpersonal skills; fluent in Chinese. Responsible, proactive, detail-oriented, self-disciplined, well-organized, good communication skills. Able to work under pressure, strong team player. Good command in written and spoken English and Chinese (including Putonghua). Please click "Apply Now" to submit your application with CV attached stating both current and expected salary. Personal data collected will be used for recruitment purposes only. Company Overview ICBC Asset Management (Global) Company Limited is a Hong Kong-based asset management firm licensed under the Securities and Futures Ordinance to carry out Types 4, 5, and 9 regulated activities. Backed by ICBC (Asia), the world’s largest bank by market capitalization, we provide investment solutions across Asia and globally, focusing on opportunities in China. #J-18808-Ljbffr


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