Lead the legal function and advise senior management on significant legal and regulatory matters and business units on their business initiatives and strategy.
Provide direction on legal, regulatory and compliance affairs for the firm. Advise senior management on significant regulatory and compliance matters
Provide expert and professional legal advice, guidance and support to ensure that the legal and reputational risks in business lines are identified, reported and mitigated.
Provide legal advice and assistance with respect to product development, assessing and implementing regulatory change and special projects.
Develop and implement an effective compliance program that comprises:
Performance of compliance risk assessment
Design and roll-out of a monitoring and testing program for reviewing compliance with both internal and external requirements
Formulate and codify compliance policies and procedures
Development and delivery of compliance training to professionals and support staff
Update and oversee the monitoring process of portfolio management activities such as investment guideline monitoring and trade surveillance (e.g., best execution, order allocation, etc.)
Developing and implementing a review mechanism for client communication and marketing materials
Liaise with regulatory bodies, legal counsels, and other internal control groups to manage compliance-related issues. Develop and manage relationships and interactions with regulators.
Act as a key contributor in identifying and resolving potential conflicts of interests, AML, financial crime matters in acquisition and disposition activities of funds offered by the firm.
Formulate and codify compliance policies and procedures, review and enhance both relating to investment products authorization and promotion on an ongoing basis and upon any change of legislations and regulations.
Experience & Qualifications
Degree holder with a major in Law
Relevant experiences gained in legal department of reputable asset management companies, regulatory institutions in the investment funds industry or other financial institutions
Good knowledge of the investment industry with a strong sense of legal affairs, product governance and risk management.
Knowledge of SFC / SEC regulations / CSSF is an asset.
Excellent communication and writing skills in English and Chinese (written and spoken). Fluent Mandarin is preferable.
Team player, able to work independently, proactively and under pressure.
Internal Number: 4989484
About Elysian Executive Solution
eFinancialCareers is a career site specializing in financial services.