Location: Hong Kong, Central, Central and Western District
Department: Banking & Finance Law (Legal)
Type: Full Time
About the role
We are seeking a motivated, friendly, and dedicated individual to join our team as a Legal and Compliance Manager. The ideal candidate should hold Hong Kong licenses No. 1,4, and 9. Prior experience in a law firm would be advantageous. In this role, you will work closely with the Legal & Compliance Director and our front-office team.
How you will add value
Be responsible for handling regulatory and general compliance matters for the firm and the firm’s services or products launched in APAC. This includes acting as a back-up for investment/investment banking compliance duties.
Handle compliance matters related to Type 1,4,9 regulated activities. This includes, but is not limited to, reviewing marketing materials, legal documents, and preparing SFC filings.
Perform gap analysis on regulatory changes and updates to ensure our firm’s compliance with the latest requirements.
Assist in updating internal policies and procedures to align with the latest regulatory requirements.
Support compliance testing, licensing, and other non-investment compliance matters.
Assist in handling various legal affairs related to our operations.
Assist in ad hoc tasks/projects as assigned.
We are excited about you because you have
University Degree in Law or relevant disciplines.
At least 3-5 years Compliance or legal experience in Asset Management firms.
Candidates with knowledge on authorized funds and overseas funds would be an advantage.
Excellent in written and spoken English.
High sense of responsibility, detail-oriented, withstanding high-intensity work.
What’s in it for you?
Competitive salary / Medical, dental & life insurance / annual bonus program / Paid time off & work from home or home country flexibility / Learning & development programs
We are a band of diverse brothers and sisters of bright, talented, collaborative members who love to evolve and jump on new opportunities
People who care about your growth, career, and personal development
You are part of the expansion plan, together we excel on the global stage
Cross-functional teams who value teamwork - from international roadshows, investor events, exhibitions, team off-sites, and annual retreats, you get to experience it all.
Your application should include a current resume that highlights your relevant experience, skills, and achievements. Please submit your application to careers@northbeta.com
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