- Legal and Compliance,counsel,hedge fund,solicitor
- back office,director,vice president,equities
- operation,boutique,investment,buy side,western
Our Client is a boutique Hedge fund in Hong Kong with SFC type 9 license which focus on long/short equity funds, strongly emphasising on technology, consumer, and healthcare sectors. They are now expanding and looking for a high calibre candidate to join them as their Legal and Compliance Vice President.
- Reported directly to CEO/CIO and formulated business/operational plan, development efforts for the firm and executed various strategic initiatives for the company.
- Manage all aspects of fund raising, investor relations and due diligence inquiries,
- Assist on negotiations, on-boarding and capital activities from a compliance perspective.
- Oversee staffs licensing application process.
- Advise business line management and assist in providing solutions to potential problems or issues involving compliance or regulatory risk
- Review and approve marketing materials
- Identify regulatory or reputational risks and escalate to senior management for resolution
- Responsible for all aspects investment policies and procedures to ensure in compliance with all regulatory requirement.
- Maintain operational infrastructure, processes and policies of the HK SFC Type 9 entity.
- Monitored daily business operation to ensure compliance and acted as contact point to SFC and other regulatory bodies.
- Minimum of 8 years of relevant experience in Legal and Compliance from a hedge fund, fund house or asset management firm.
- Degree holder in related area.
- Candidate who are qualified solicitor from any common law jurisdiction will have an advantage, but it is not a mandatory requirement.
- Good command in English.
- Working experience from reputable western investment firm is a plus.
- Independent, details oriented and able to work under pressure.
- Western and friendly company culture.
- Competitive yearend bonus.
- Great annual leave package
- Great Career progression.
- Fully comprehensive medical insurance and personal insurance
- Great MPF Pension Scheme
For further information, please contact our Douglas Au at 2523 9994.