Legal & Compliance – Assistant Manager

Grand Alliance Asset Management Limited; Hong Kong; On-site; HKD 420,000 - 780,000; Full time

Benefits offered by this job

Competitive compensation

Career development

MPF

Group life insurance

Medical benefits

Job summary

Grand Alliance Asset Management Limited in Hong Kong seeks a dedicated Compliance & Fund Operations professional to support day-to-day legal and regulatory matters. You will assist in regulatory reporting, policy updates, and adherence to HK SFC, US SEC, and CIMA guidelines, acting as a key liaison with internal teams and external partners.

The role requires at least 3 years in a related field, strong English communication, and meticulous attention to detail with a team-oriented approach.

Qualifications

• Bachelor’s degree in a relevant field (Law/Accounting/Finance/Economics/Business Administration).
• CPA/HKICPA modules or equivalent certification would be a plus.
• Minimum 3 years of work experience with a professional law firm, audit firm, or financial services compliance/advisory; preference for fund operations within a financial institution.

Responsibilities

• Assist in day-to-day legal and compliance issues and fund operations as primary contact for internal and external stakeholders.
• Support regulatory reporting, policy drafting/updating, and KYC/AML/CTF/PEP/CTF compliance under HK SFC, US SEC, and Cayman guidelines.
• Conduct compliance reviews of policies and procedures and update manuals per HK SFC FMCC, US SEC, and CIMA requirements.
• Monitor regulatory developments and advise on enhancements to ensure compliance.
• Coordinate communications with external service providers and review their contractual arrangements.

Skills

Regulatory compliance

English proficiency

Communication skills

Attention to detail

Team player

Education

Bachelor’s degree in Law, Accounting, Finance, Economics, or Business Administration

CPA / HKICPA modules or related certification (a plus)

Job description

Responsibilities

• Assist in day-to-day firm legal & compliance issues and fund operations as a primary contact window for both internal and external stakeholders
• Assist in handling legal & compliance tasks to ensure adherence to the HK SFC, US SEC and CIMA’s (Cayman Islands) rules and guidelines. This includes providing support on regulatory reporting, drafting / updating firm policies and procedures (as appropriate), and KYC/CDD/AML/CTF/PEP/PI compliance.
• Perform compliance reviews of the firm’s policies and procedures and update compliance/ operations manuals in line with the HK SFC’s FMCC (Fund Manager Code of Conduct), as well as the US SEC and CIMA recordkeeping requirements.
• Keep abreast of the latest trends and developments with respect to regulatory compliance best practices, including updates on regulatory technology. Assess the potential impact/ applicability of such trends and developments, advise on potential enhancements to ensure adequate compliance, as well as framing up a pathway for compliance (for any emerging developments).
• Facilitate and coordinate communications with external service providers (e.g., legal advisors, auditors, tax advisors, brokers) across all aspects of the firm’s compliance program, as well as conducting reviews of their corresponding contractual arrangements.
• Prepare training for firm colleagues on regulatory updates.
• Participate in the launch of new funds, optimization of operational processes and other ad hoc projects

Requirements

• Bachelor’s degree in Law, Accounting, Finance, Economics, Business Administration or related disciplines.
• CPA, completion of certain core HKICPA modules or certification courses in legal studies would be a plus
• At least three (3) year of work experience with a professional law firm, audit firm, financial services compliance consulting / advisory firms, and/or a combination of compliance and fund operations within a financial institution would be preferred. Candidates with more experience will be considered for an Assistant Vice President role.
• Strong written and verbal communication skills, with a good command of English
• Detail-minded and well-organized
• Strong communication and interpersonal skills
• A team player and a self-starter, with a strong sense of responsibility and the ability to work well under pressure

Competitive compensation, culture of growth and career development. Located in Central (Hong Kong), annual leave, public holidays, MPF, group life insurance & medical benefits.

Please e-mail cover letter & CV with expected salary to [e-mail]