Focusing on private equity, asset management and brokerage compliance.

Focus on asset management and private equity compliance.

Lead a team focusing on legal, compliance and risk management of private equity, asset management and brokerage business. MIC of compliance and AML. MLRO of the company.

Oversee the legal and compliance function of the Company covering brokerage, wealth management, asset management and corporate finance business.MIC of compliace and AML. MLRO of the company.

Providing asset managers, hedge fund managers and private equity managers with compliance advisory service such as regulatory advisory, licensing application, policy review and drafting, training, etc..

- Overseeing compliance function- Drafting and administering compliance policies and procedures- Implementing and maintaining a compliance monitoring program- Point of regulatory contact- Knowledge of HK SFC, US SEC and other EU regulatory requirements- Familiarity of UCITS

- Achieve full compliance with regulatory / legislative requirements by developing best practice compliance frameworks and establishing compliance standards, policies and procedures;- Contribute to the application of trading rules of all major markets in Asia Pacific including Hong Kong, Australia, Korea, Japan, Singapore, India and Taiwan;- Ensure traders and all employees are fully informed and aware of their legislative / regulatory / internal obligations by conducting audit programs and providing presentations;- Contribute to assessment of legal and compliance risks in new projects and developments by providing advice and expertise to management;- Coordinate, assist and liaise with regulators and exchanges in their enquiries, inspection and investigation by maintaining active dialogues with regulators and promptly providing information as requested; - Provide internal legal and compliance advice and support; and- Handle licensing issue.

• Investigate cases related to fraud, corruption and money laundering in banking and financial sector• Collect and assaying the evidence of fraudulent activities• Prepare prosecution reports and bundles for judicial proceedings