Legal and Compliance - Assistant Manager/ Manager/ Senior Manager
Core
Provide day-to-day compliance advisory support to business units, review SFC-authorized funds and Cayman funds, and support regulatory filings and reporting obligations.
Role type
Compliance Manager (Asset Management)
Builds
Compliance guidelines, regulatory filings, and governance oversight for asset management business units.
Domain
Financial Services / Asset Management / Regulatory Compliance
Deliverable
dashboards & analysis
Required skills
Regulatory filing, AML/CFT, KYC, marketing material review, policy development, compliance review, report writing, analytical skills
Preferred skills
Licensing support, AEO/CRS/FATCA processes, new business development policy preparation
Technologies
Word, Excel, PPT
Responsibilities
Provide day-to-day compliance advisory support to business units; Review and advise on matters relating to SFC-authorized funds, Cayman funds and Discretionary accounts; Support regulatory filings, notifications, and ongoing reporting obligations; Conduct regular compliance review; Prepare the policy and guidelines of the new business development or regulatory changes.
Seniority
Manager to Senior Manager, 3+ years experience
