Job Responsibilities
- Review investments and trades for compliance issues
- Provide compliance training's and communicate with employees on compliance procedures and policies
- Evaluate adequacy and effectiveness of the hedge fund's compliance program
- Provide regulatory risk management advice and support, including drafting and submission of regulatory filings (Form ADVs, Section 13 filings, SFC short position filings)
- Review and maintenance of policies and procedures, controls, and policy exceptions
- Review of NDAs and vendor contracts
- Review of CIAs, and assistance in IPO subscription legal processes and waiver applications to the HK SFC
Job Requirements
- Bachelor degree of law
- Over 12+ years of legal and compliance experience in asset manager or hedge fund
- Hong Kong qualified lawyer
- Ability to advise senior investment and business professionals
- Knowledge of trade/investment compliance, HK IPO issues, insider trading issues, fiduciary duty concepts, anti-money laundering and know-your-customer rules
- Excellent analytical skills