Key Responsibilities and Accountabilities:
 

• Drafting standard documents, formulating and updating compliance policies and procedures.
• Maintaining contract databases; handle the document management system for proper record keeping purposes. 
• Monitoring the firm’s practice in the Greater China region to ensure all functions are compliant with relevant rules and regulations at all times.
• Reviewing fund contracts and agreements with service providers.
• Liaising with external service providers such as compliance firms.
• Responding to investor queries.

• Providing verbal and written compliance advice to various departments of Winton across a wide range of matters.
• Conducting compliance review of client on-boarding assessments.
• Assisting with the coordination of regulatory audits or reviews.
• Producing management information and responding to inquiries from senior management and company headquarter’s legal and compliance team.
• Translations of contracts/agreements/policies when necessary.

Requirements:

• Bachelor degree in law, economics or finance related discipline, master degree is preferred.
• At least 4 years’ compliance experience;
• Proven delivery of clear, succinct compliance advice.
• Proactive, a strong common sense and excellent interpersonal skills.
• Attention to detail, organised and possess strong language skills (both Chinese and English).
• Financial services, commodity trading and asset management experience.
• Knowledge of general compliance concepts and processes; experience with the Hong Kong (SFC) regulatory regimes a plus.