N / A
HKD 45k - HKD 55k
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.
- 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
- 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