jobsDB ref: JHK100003004995625
Employer Ref. 534180/001
A private equity house with AUM $1bn+ . Recently launched a fourth fund and continues to grow. Also expanding geographically beyond HK with new offices in Europe and the US.
To date all legal and compliance has been managed by the CFO. Now looking for a dedicated lawyer to manage the legal function and build out the compliance offering.
They are looking for someone who has an entrepreneurial mindset and can work relatively autonomously after a period of settling into the role.
- Reports to Chief Operating Officer/Chief Financial Officer
- Develop, implement and maintain group wide policies and procedures to ensure compliance with relevant Hong Kong regulatory requirements (i.e. Type 1 & Type 9 SFC Regulated activities, Professional Investor and KYC documentations).
- Formulate compliance policies to ensure business and investment operations comply with both Hong Kong, US and Europe regulatory requirements. This would include all regulatory filings (e.g. Substantial Shareholding, Form 3 & 4, SEC Schedule 13D, Form ADV, Reg D) in the various jurisdictions.
- Coordinate Compliance Committee meeting of the HK SFC registered entity
- Provide counsel to senior management and coordinate legal and compliance considerations on business expansion and operations in HK, China, US and European.
- Providing legal advice and daily support to investment teams on transactions. Coordinate engagement and cost control of external legal counsels on transactions.
- Review all business contracts (e.g engagement letters, NDAs, vendor agreements )
- At least 5 years post legal qualification experience gained from law firms, investment banks or fund managers
- Solid legal and compliance knowledge in asset management or investment banking sector
- Self-motivated and able to build legal/compliance control framework from ground up.
- Good leadership skill, team player and high integrity
- Strong communication skills and fluent in English and Chinese (Mandarin)
jobsDB will send your application for review directly to Robert Walters Hong Kong
About Robert Walters Hong Kong
A private equity house with AUM $1bn+