Harbridge Partners Limited

Legal and Compliance Manager (Fund House)

Harbridge Partners Limited
HK$35,000 - HK$55,000 /month (negotiable)
Posted on 28 Sep 2020

Legal and Compliance Manager (Fund House)

Harbridge Partners Limited

Job Highlights

  • Legal and Compliance,counsel,fund house,solicitor
  • back office, Asset management, fund management
  • operation,boutique,investment,buy side,SOE

Job Description


Our Client is a started up Asset Management firm with SFC type 4, 9 license, backed by one of the top State Owned insurance firm in China. They are now expanding and looking for a high calibre candidate to join them as their Legal and Compliance Manager.


  • Reported directly to Head of Compliance 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 from compliance perspective.
  • 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 Type4,  9 entity.
  • Monitored daily business operation to ensure compliance and acted as contact point to SFC and other regulatory bodies.


  • Minimum of 5 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
da(@) harbridgepartners (.) com
consultants(@) harbridgepartners (.) com

Additional Information

Career Level
Years of Experience
5 years
Job Type
Full Time, Permanent

Company Overview

About Harbridge Partners Limited

HARBRIDGE PARTNERS is a boutique, executive search and human capital consultancy firm.

We are an Asia-based, premier human capital consultancy and recruitment specialist in the  Legal, Tax, Compliance, Risk, Audit, Internal Audit, Corporate Governance, Infrastructure (Middle Office), Information Security/ Technology and Sales & Marketing, fields.

Due to client requests, we launched our Private Banking / Private Wealth Management Division, servicing all levels of requirements from  Private Bankers, Wealth Planners, Tax Consultants to Portfolio Managers, Credit Specialists and support staff.

Our front-line  Sales & Marketing Practice, is now headed by an ex-investment banker.

Our Legal, GRC (Governance, Risk and Compliance) and Internal Audit Practice is managed by a multi-award winning specialist Legal and Compliance Recruitment Consultant, with over 14 years specialist experience recruiting in these araes.

The founding members have over 35 years relevant executive search and direct industry experience within our specialist industry sectors. We believe we are one of the very few- if not the first, specialist Corporate Governance and Private Banking / Wealth Management recruitment firm comprised of top ex-industry professionals or experienced recruitment specialists specifically focussed on the Asia Pacific. 

We assist our global and local clients in Asia with identifying, developing and recruiting the world’s top talent, exclusively for the fast growing markets of the Asia Pacific regions.

Most of our consultants are multi-lingual and speak fluent English as well as another Asian Language.

HARBRIDGE PARTNERS believe in developing long term relationships through open communication, trust and good, honest, ethical hard work as the foundation of our recruitment practices.

Our consultants have won industry recongnition in their specialist areas, for example such as The Asiamoney Polls.

We hope that you will find our market knowledge, professionalism and personal approach, a refreshing change. 

To better serve our clients, we have plans to launch our Singapore and Shenzehn offices soon. If you are a recruitment consultant, looking for a truely international working environment and a total commitment to Asia, please do get in touch.

HARBRIDGE PARTNERS - Delivering Unparalleled Talent


Additional Company Information

Benefits & Others
Dental insurance, Five-day work week, Life insurance, Medical insurance, Performance bonus