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Legal & Compliance Manager - Multibillion Dollar Hedge Fund - International Fast-Growing Firm

Strachan Clark
Hong Kong
Posted 4 days ago Permanent 40K - 70K HKD Per Month + Attractive Bonus & Benefits
Posted by
Nicholas Strachan
Multibillion Dollar Hedge Fund in Hong Kong seeking a Legal & Compliance Manager to join their fast growing team. You will report directly to the GC and COO and will work in a fast-paced, dynamic environment. The successful candidate will be welcomed with an attractive package as well as an exceptional opportunity to grow rapidly alongside this burgeoning business.

This is an exciting opportunity to work in a growing and progressive company that is expanding their legal and operations departments in order to support the investment activities of the firm

The role reports to the General Counsel & Chief Operating Officer (who is responsible for all non-investment aspects of the business, including Compliance, Operations, and Investor Relations), as well as to the firm’s Compliance Officer.

Primary Duties

Legal Department

  • Manage corporate documents and records of all management company and fund entities.
  • Assist in the formation of all new fund entities.
  • Assist in the account opening process for trading and related accounts and services for all funds and SPVs.
  • Organization and preparation for all funds and SPV board meetings.
  • Develop and maintain knowledge and awareness of the investment industry, regulatory and/or policy changes with potential impact firms’ funds and operations.
  • Organization, preparation, and recordkeeping (including meeting minutes) of all internal manager committees (Best Execution, Compliance, Risk, Conflicts, etc.).
  • Assist in drafting, reviewing and coordinating of board resolutions, deal transaction documentation, NDAs, engagement letters, contracts, fund offering documents, trading account agreements, etc.
  • Manage KYC & AML process for the firm – both for incoming requests from counterparties, and managing program to perform Due Diligence and KYC on its own counterparties and vendors.
  • Manage and maintain internal audit program for the investment manager (non-accounting audit) including HK “FMCC Review”.
  • Be the first point of contact in relation to all incoming legal-related enquiries such as NDAs, contracts, etc.
  • Assist IR Team in answering investor enquiries.

Compliance Department

  • Assist the Compliance team with certain documentation and process tasks including:
  • Monitoring and Surveillance
  • Wall crossing
  • Review and enhance compliance framework on Type 1, 4, 6 and 9 regulated activities
  • Conduct regular compliance review on company policies
  • Maintenance of tracking records

Additional Duties

  • Assist the Operations with certain documentation and process tasks including:
  • Checking long form and trade confirmations
  • Completing placement letters and IPO forms
  • Coordinate with banking and trading counterparties for portal access and maintenance of the permission and cash control tracking sheet
  • Maintenance of the authorized accounts and counterparty list
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