Investment Fund, Legal & Compliance Counsel
Salary HKD1400000 - HKD1700000 per annum + + Bonus
Location Hong Kong Island
Consultant Oliver Allcock
Date posted 14 February 2017
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. Ideal applicants will be legal counsel on the buy-side, just below General Counsel level.
- 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)