Legal & Compliance Manager (Asset Management)

Legal and Compliance Manager (Legal-oriented) Lead and advise on product documentation including contract templates, marketing materials and handle related issues. Provide legal support to business and operations including contract negotiation and dispute resolutions. Assist in handling tax compliance (FATCA/CRS) and company secretarial work for funds and...

LLB or university degree in Corporate Governance At least 5 years of experience in legal, compliance, chartered secretary, or company secretarial roles Experience in listed company and licensed corporation is preferred Attention to details, hardworking, willing to learn Ability to work independently while maintaining a strong team spirit Good command of...

A leading asset management firm in Hong Kong seeks an experienced Legal and Compliance Officer. The ideal candidate will possess an LLB or degree in Corporate Governance, and have a minimum of 5 years experience in legal, compliance, or secretarial roles. Strong attention to detail and fluency in English and Chinese, including Putonghua, are essential. This...

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...

Deputy Head of Legal and Compliance / Senior Legal and Compliance Manager Add expected salary to your profile for insights Strong capability to lead the department and manage the team independently; Able to advise and communicate with internal stakeholders and external parties e.g. external lawyers; Able to independently manage and handle general compliance...

Responsibilities: Able to independently manage and handle general compliance work, including but not limit to manage general licensing (licensed representatives, responsible officers, MIC, annual return, BRMQ and use of WINGS etc.) and on-going notification matters; Able to independently manage and provide compliance advice on AML and regulatory compliance...

A leading investment firm in Hong Kong is seeking a Legal and Compliance Manager to lead product documentation and provide legal support for contracts and compliance. The ideal candidate should possess a Bachelor’s degree in Law or related disciplines and at least 3 years of relevant experience in the financial industry. Proficiency in both English and...

A leading asset management firm in Hong Kong is seeking a Deputy Head of Legal and Compliance. The role involves managing compliance work, advising on regulatory issues, and leading internal audits. Candidates should have a Bachelor’s Degree, at least 10 years of experience in the financial sector, and strong compliance knowledge. The firm offers a...

Responsibilities: Strong capability to lead the department and manage the team independently; Able to advise and communicate with internal stakeholders and external parties e.g. external lawyers; Able to independently manage and handle general compliance work, including but not limit to manage licensing (licensed representatives, responsible officers, MIC,...

A leading asset management firm in Hong Kong is seeking a Head Of Legal & Compliance to provide legal support and ensure compliance across the organization. With 12-15 years of relevant experience, the ideal candidate will coordinate corporate projects, formulate policies, and conduct compliance training. Strong knowledge of SFC laws and excellent command of...