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5 to 10 yrs


Bachelor

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Bachelor

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Compliance Consultant VP/D – Legal and Compliance Department – Corporate Services

Levin Human Resources Development Limited·Human Resources Management / Consultancy
Replied to 11 talents in 7 days
HK $50K-80K/Month, Salary negotiable
Bachelor
5 to 10 yrs exp
HK work permit required
9.0 hrs/day, 5 days/wk

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Job DescriptionTranslate to English

Compliance Consultant VP/D – Legal and Compliance Department – Corporate Services

Responsibilities:

  • Lead and oversee all compliance matters of the asset management firm

  • Draft, update, and maintain the compliance manual and AML policies to ensure alignment with regulatory requirements

  • Support the launch of new funds/products, coordinate with internal and external legal

  • counsel to draft, review, and update fund documentation

  • Review and approve marketing materials/research reports and from a compliance

  • perspective

  • Make sure marketing activities in different jurisdictions comply with local laws

  • Review investment management agreements for managed accounts

  • Design, organize, and deliver compliance training programs

  • Monitor staff personal trading activities

  • Monitor investor onboarding processes, including Professional Investor (PI) confirmation, AML/KYC checks, and suitability assessments.

  • Collaborate with IT teams to design, implement, and continuously enhance automation of the client portal and the KYC review/checking platform

Requirements:

  • 8-10 years of relevant experience in compliance roles

  • Prior experience with Type 9 licensed asset managers that hold client assets is strongly preferred

  • Comprehensive knowledge of client onboarding procedures,with substantial experience in AML reviews and KYC processes regarded as a strong advantage

  • A Law degree is preferred but not mandatory

  • Proactive and capable of working independently


Languages
Cantonese
English
Mandarin
Skills
Legal Issues
Financial Operations
Legal Compliance
Article Writing
Asset Management

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winsome choi
Levin Human Resources Development Limited · HR
Active within 7 days

Job Location

油尖旺區-West Kowloon Reclamation, Yau Tsim Mong

油尖旺區

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Company Overview

Levin Human Resources Development Limited, aims to provide high-value-added human resources consulting services to its clients. The firm has been practicing in the industry for over 30 years, with its scope of services expanding from personnel agency to encompass headhunting, mobility management, outsourced manpower management, employee relations management, talent development management, culture customization, school debenture management, as well as handling ad hoc projects such as M&A and company restructuring advisory, on-site support of exit management and business advisory. Our clients come from Greater China, Asia, Europe, and the USA. We will continue to advance with our core values of Longevity, Energy, Velocity, Imagination, and Never Give Up, both in terms of quality service offerings and geographic coverage.


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