Responsibilities:

• Lead and oversee all compliance matters of the asset management firm

• Draft, update, and maintain the compliance manual and AML policies to ensure alignment with regulatory requirements

• Support the launch of new funds/products, coordinate with internal and external legal counsel to draft, review, and update fund documentation

• Review and approve marketing materials/research reports and from a compliance perspective

• Make sure marketing activities in different jurisdictions comply with local laws

• Review investment management agreements for managed accounts

• Design, organize, and deliver compliance training programs

• Monitor staff personal trading activities

• Monitor investor onboarding processes, including Professional Investor (PI) confirmation, AML/KYC checks, and suitability assessments.

• Collaborate with IT teams to design, implement, and continuously enhance automation of the client portal and the KYC review/checking platform

Requirements:

• 8-10 years of relevant experience in compliance roles

• Prior experience with SFCType 9 licensed asset managers that hold client assets is strongly preferred

• Comprehensive knowledge of client onboarding procedures，with substantial experience in AML reviews and KYC processes regarded as a strong advantage

• A Law degree is preferred but not mandatory

• Proactive and capable of working independently

Interested candidates please send your CV to [email protected] or contact us at 25200103.

For more job openings, please visit our website: www.levin.com.hk