Legal & Compliance Manager Senior Associate/Vice President (SFC Type 4 & 9)
Core
Senior compliance manager ensuring regulatory adherence for SFC Type 4 (Advising on Securities) and Type 9 (Asset Management) activities.
Role type
Senior IC legal & compliance manager
Builds
Compliance framework, policies, and monitoring programs for regulated financial activities
Domain
Financial services / Asset management / Securities
Required skills
SFC Type 4 & 9 regulatory knowledge, AML/KYC, fund onboarding, compliance monitoring, policy development, regulatory reporting, common law principles
Preferred skills
Legal training, Hong Kong regulatory environment expertise, international financial services experience
Technologies
N/A
Responsibilities
Oversee compliance for SFC Type 4 and Type 9 activities, provide regulatory advice to management, maintain compliance policies, monitor regulatory developments, conduct compliance reviews, handle external enquiries, support onboarding and due diligence, assist in regulatory filings, provide compliance training, investigate incidents
Seniority
Senior, hands-on IC