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.
-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.
-Relevant degree or equivalent
-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