Legal Counsel and Chief Compliance Officer

  • Competitive
  • Hong Kong Hong Kong Hong Kong HK
  • Permanent, Full time
  • FountainCap Research & Investment (H.K.) Co. Ltd.
  • 21 Feb 18 2018-02-21

FountainCap Research & Investment (Hong Kong) Ltd is a long-only equity fund manager focusing on global long-term opportunities that benefit from China's fundamental transformation. Currently the firm manages two offshore domiciled funds and segregated portfolios for renowned institutional investors. In 2017, FountainCap is the only firm that has won both "Private Fund Company Award”(“私募管理公司奖”) and “Private Fund Investment Manager Award”(“投资经理奖”) in the long-only equity category at the first Oversea Golden Bull Fund Awards (首届海外基金金牛奖). We are recruiting the below full time position based in Hong Kong. Compensation package will be competitive.

Key Roles and Responsibilities:

  • Perform legal function of overall discretionary asset management and investment advisory business of the Company  
  • To be responsible for the Company’s legal and compliance system, to drive and drive the Company’s legal & compliance operations, including compliance with regulatory requirements in relevant major financial markets, mainly HK, mainland China, US, and to lesser extent major European countries, with supports from external / local counsels when necessary; 
  • Support the Company’s new product initiatives and existing products, which primarily target global institutional and professional individual investors in the above jurisdictions. Work closely with product team and senior management to support product development, marketing, and investors onboarding / on-going reporting process
  • Coordinate with external law firms and compliance advisors to develop appropriate legal and compliance policies, procedures, and risk controls, including but not limit to
  1. assist CEO to develop appropriate control points to ensure fulfillment of compliance obligations in investments, operations, and reporting
  2. draft, review, and negotiate legal and contractual  agreements
  3. identify and prevent major legal risks
  4. keep track on relevant regulatory developments and update the Company’s policies and procedures
  • Represent the Company to independently handle legal and compliance due diligence and documentation negotiations with sophisticated global institutional investors
  • Manage day-to-day compliance work and periodic regulatory filing for the Company and Funds and Products managed by the Company, with supports from operational staff and external compliance advisors


  • Minimum 5-year experience in fund service / asset management practice or capital market practice from a reputable law firm; or in-house position at asset management companies or public market fund management firms
  • Bar admission / legal qualification in US, HK, UK or other major recognized jurisdictions
  • Familiar with company law, contract law, US & HK securities law, AIFMD regime and relevant asset management industry legal environment. In particular, knowledge of US regulatory systems and obligations relevant to SEC Exempted Reporting Advisors (“ERA”) or Registered Investment Advisors (“RIA”) are strong plus
  • Sound knowledge of fund products and structures
  • Business acumen, excellent problem solving skills; a self-teacher who can work both independently with accountability and as a team member
  • Fluent in both English and Chinese (or Cantonese); ability to handle sophisticated legal documents in English. Chinese documentation capabilities preferred

For CV submission, please email: and quote the position you are applying for.