Hedge Fund - Legal & Compliance Counsel / Officer
Salary HKD450,000 - HKD750,000 per annum + + Bonus
Location Hong KongFULL_TIME
Consultant Oliver Allcock
Date posted 28 September 2018 2018-09-282018-11-27 legal 41 Connaught Road Central Hong Kong Robert Walters Hong Kong
The General Counsel is seeking a legal and / or compliance counsel / officer to join the firm. Working directly with them this is a rare opportunity to commence a broad and in-depth career with a leading hedge fund. The GC is happy to provide extensive on the job training for those with a bright and ambitious attitude.
We are considering several profiles for this hire:
• Compliance Officer with 2-4 years’ experience on the buy-side at a SFC-regulated investment manager. SEC experience will be a plus.
• Paralegal with SFC regulatory experience
• Paralegal who is common-law qualified and working in private practice (funds experience preferred, will consider ECM/DCM or general corporate for outstanding candidates)
Candidates who have common-law qualification (and are not currently carrying a lawyer title) may be considered for the Legal Counsel title after completing probation
Personality wise someone who is driven, ambitious, practical, organized and meticulous and will thrive in a small office culture and be able to get along with 35 other colleagues from both local and expatriate backgrounds.
Job title: Legal and Compliance Officer (Legal Counsel title may be considered for common-law qualified candidates)
• Handle all day to day compliance / regulatory issues;
• Managing all aspects of the SFC authorized funds, advising the marketing and operations team on UT Code and related requirements and to deal with both the SFC Investment Products team at the SFC and managing external counsel of authorized fund projects;
• Managing all aspects of private funds, advising on marketing to qualifying investors in foreign jurisdictions, fund documentation and on occasion, fund formation;
• Maintaining the Compliance Monitoring Program, conduct compliance testing for best execution, market misconduct, etc.;
• Attending to all periodic and ad-hoc regulatory manager filings (SFC/SEC/CFTC etc.) and fund filings (MAS/FCA/CIMA, etc.);
• Attending to management committees, board meetings and drafting / taking minutes;
• Assist in the legal negotiation, review and sign off of any vendor, counterparty, distribution, client or other agreements;
• Any other matters (including non-legal or compliance) as the GC/CCO may request from time to time.
• Ideal candidate will be a junior to mid-level Compliance Officer at a buy-side firm, and/or common-law qualified
• SFC authorized funds experience is a plus but not required
• Regulatory experience (SFC required, SEC, CFTC/NFA experience is a bonus)
• Native English and proficient Chinese (reading / writing), native Chinese skills preferred (minimum level to proofread and comment on Chinese offering documents for Authorized funds).
• Business level Mandarin
• Depending on individual’s capability and the firm’s growth, this could lead to a Senior / Chief Compliance Officer and/or Associate General Counsel role in the future.