Legal & Compliance Associate

by Christopher Law in Banking & Financial Services    9th Jun, 2021   

Legal & Compliance Associate


Our client, a well-established financial service company is currently in search of a Legal & Compliance Associate to join their team


 As a legal & compliance specialist will be responsible to handle legal/compliance related issues: legal due diligence related to the business transactions, negotiation of investment management agreement, policy and procedure, personal securities dealing ,non public information.

Key Responsibilities:


  • Provide legal support on a varied range of general corporate and commercial matters including drafting, reviewing legal documents, contracts, agreements.
  • Work with internal/external counsel and investment team, assist in contract/agreement drafting, and conducting legal due diligence related to the business transactions.
  • Advise business units on new projects and legislation and regulatory matters.
  • Work with internal/external counsel and investment team, focus on the negotiation of investment management agreement.
  • Work with internal/external counsel, provide legal advice and support to the company’s business.
  • Liaison with internal/external counsel regarding legal matters in the course of project management or execution.
  • Perform legal research and prepare reports to management.



  • Responsible for designing and implementing compliance policies and procedures.
  • Maintaining and monitoring the restricted lists.
  • Provide compliance advice to business and handle non public information related queries.
  • Design and provide compliance training on related procedures and policies, and to promote awareness of compliance culture within the business.
  • Conduct compliance review including staff trade on regular basis.
  • Liaise with Head Office Legal & Compliance Department, company secretary and external legal counsel in respect of legal and compliance issues.
  • Assist the management to ensure that the company’s compliance with the statutory requirements.


  • Bachelor Degree or above in law;
  • At least 2 years of solid paralegal experience gained from in-house legal department in financial institutions; with 2 years’ experience in reputable law firm in China is preferred but not necessary; 2 - 5 years working experience in legal/compliance area at financial institutions, preferred in Asset Management Companies;
  • Sound legal and regulatory knowledge of financial industry;
  • Experience in providing legal advice in investment business is preferred;
  • Hardworking, responsible and a good team player
  • Excellent communication and liaison skills across all stake holders (both internal & external).
  • Highly proficient in English and Mandarin with excellent writing skills;

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