Legal & Compliance – Assistant Manager

Job Description

Responsibilities • Assist in day-to-day firm legal & compliance issues and fund operations as a primary contact window for both internal and external stakeholders • Assist in handling legal & compliance tasks to ensure adherence to the HK SFC, US SEC and CIMA’s (Cayman Islands) rules and guidelines. This includes providing support on regulatory reporting, drafting / updating firm policies and procedures (as appropriate), and KYC/CDD/AML/CTF/PEP/PI compliance. • Perform compliance reviews of the firm’s policies and procedures and update compliance/ operations manuals in line with the HK SFC’s FMCC (Fund Manager Code of Conduct), as well as the US SEC and CIMA recordkeeping requirements. • Keep abreast of the latest trends and developments with respect to regulatory compliance best practices, including updates on regulatory technology. Assess the potential impact/ applicability of such trends and developments, advise on potential enhancements to ensure adequate compliance, as well as framing up a pathway for compliance (for any emerging developments). • Facilitate and coordinate communications with external service providers (e.g., legal advisors, auditors, tax advisors, brokers) across all aspects of the firm’s compliance program, as well as conducting reviews of their corresponding contractual arrangements. • Prepare training for firm colleagues on regulatory updates. • Participate in the launch of new funds, optimization of operational processes and other ad hoc projects Show More