Head of Legal & Compliance, AXA Asia Unit Linked

Location Hong Kong
Experience level Experienced Hire
Job details sector Legal and Compliance
Apply before Date not available

1.     Provide relevant Legal & Compliance guidance to support the launch of an asset manager company within the Hong Kong regulatory environment (type 1, 4 & 9 licences).

2.     Provide Legal & Compliance support for launch or acquisition of other entities within the Asia region and liaise with external counsel for the same. 

3.     Develop and maintain Legal & Compliance framework to ensure the company continually understands and meets the Hong Kong legal and regulatory requirements.

4.     Provide Legal & Compliance services, advice and assistance as required, ensuring that planning and decision making processes are appropriately informed and that legal, compliance, financial and reputational risks are managed.

5.     Draft, review and negotiate relevant legal and  regulatory documentation (including Investment Advisory and Management agreements, Prospectus, Board Resolutions, Distribution Agreements, Supplier contracts etc) and liaising with external counsel for review of same).

6.     Review Marketing and other financial promotion material to ensure compliance with local and other Asian legal and regulatory requirements.

7.     Support the development of the 3 Lines of Defence control model through liaison with AXA Group Compliance team and ensure effective implementation of AXA Group Standards.  

8.     Develop relationships with internal and external stakeholders (including the regulator) to implement best practice throughout the company. 

 


Knowledge

-10+ years experience as an asset management/funds lawyer.

-Excellent knowledge of HK and other Asia region asset management/funds law and regulation with experience of frequent regulatory interaction.

-Excellent knowledge of commercial contracts, distribution and market related legal documentation and supplier agreements.

-Experience of regional compliance matters and cross border regulatory impacts.

-Experience of cross border financial promotions.

-Knowledge of AML, Sanctions and Anti-Bribery requirements.

-Knowledge of developing internal controls and processes.

-Experience of setting up asset management company licences is a strong advantage. 


Qualifications

-Qualified lawyer

-Relevant degree or equivalent


Skills

-Excellent time management and organisational skills

-Excellent oral and written communication skills in both English and Chinese

-Excellent influencing and negotiation skills with ability to quickly build and maintain confidence and credibility with Senior Management

-Excellent analytical, interpretation and problem solving skills

-Capable of working independently and leading a team on complex projects and initiatives



 



Would you like to wake up every day driven and inspired by our noble mission and to work together as one global team to empower people to live a better life? Here at AXA we strive to lead the transformation of our industry. We are looking for talented individuals who come from varied backgrounds, think differently and want to be part of this exciting transformation by challenging the status quo so we can push AXA - a leading global brand and one of the most innovative companies in our industry - onto even greater things. In a fast-evolving world and with a presence in 64 countries, our 166,000 employees and exclusive distributors anticipate change to offer services and solutions tailored to the current and future needs of our 103 million customers.
AXA Asia is a market leading insurance player offering a differentiated composite proposition in Life and General Insurance with operational presence in Hong Kong, Singapore, Indonesia, China, India, Malaysia, the Philippines, and Thailand. AXA Asia is part of the AXA Group, headquartered in Paris and a worldwide leader in insurance and asset management with a presence in 59 countries. AXA Asia is committed to creating a sustainable, long-term business for our employees, customers and shareholders.

We’ll give you:
  • A competitive salary and benefits package
  • Medical cover and dental plan
  • Attractive pension plan
  • Rental reimbursement scheme
  • Extensive learning and development opportunities