Legal and Compliance Manager - Hedge Fund/ Investment Company

The Company

Helping one of the most reputable Investment Company looking for Legal and Compliance Manager. They mainly focus on listed trading products across HK and US Stock market.

The Role

As the Legal and Compliance Manager, you will play a key role in ensuring regulatory compliance and risk management within our organization. You will be responsible for a range of duties including filing, internal control, risk management, conflict of interest management, drafting compliance manuals, overseeing personal trading activities, and reviewing employment contracts and NDAs.

• Manage filing systems and ensure proper documentation and record-keeping procedures are followed.
• Implement and monitor internal control measures to uphold ethical behavior and regulatory compliance.
• Develop and execute risk management strategies to mitigate legal and compliance risks.
• Handle conflicts of interest with third parties and manage material non-public information (MNPI) appropriately.
• Draft compliance manuals and policies, including guidelines for personal trading activities.
• Review and negotiate employment contracts and Non-Disclosure Agreements (NDAs) to protect the company's interests.

Your Profile

• Bachelor's degree in Law, Business, or related field; advanced degree or certifications a plus.
• Proven experience in legal and compliance roles with a focus on regulatory requirements.
• Strong understanding of risk management principles and conflict of interest management.
• Proficiency in drafting compliance documents and policies.
• Experience in reviewing and negotiating employment contracts and NDAs.
• Excellent organizational, analytical, and communication skills.

Apply Today

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