About Us

CLC is a Hong Kong-based investment & financial service firm managing multiple strategies worldwide. The company provides a range of financial services and investment solutions including financial advisory, global trading, asset management, and principal investment. Our distinctive culture has gathered like-minded, high-quality people to grow with us and provided our investment partners with ever-improving solutions.

• Our Value

We are always seeking highly accountable and open-minded individuals with a drive for excellence. To know more, please visit us at: https://www.clchk.com/aboutus

Responsibilities & progression

The role is responsible for ensuring that all company policies, procedures, and regulatory requirements are followed. This includes working with company management, legal counsel, and external auditors to ensure that the company is in compliance with all applicable laws, rules, and regulations.

• Prepare company filings for submission to the SFC and ensure all filings are accurate and filed on time
• Manage changes made to regulatory requirements on an ongoing basis to ensure compliance
• Conduct periodic audits of the company's operations to ensure compliance with applicable securities laws and regulations
• Investigating and responding to regulatory issues and inquiries from regulators
• Developing new policies and procedures
• Develop training materials for employees relating to securities law compliance
• Drafting and reviewing contracts and other legal documents
• Provide legal support to the management team in all aspects of general corporate law and financial services regulation, including contract reviewing and drafting regulatory compliance, and other business transactions
• Coordinating with external counsel to resolve litigation matters

Successful candidates will gain broad experience in business decision-making, workflow design, project planning, and project execution. You will have the option of progression toward the compliance and legal path or managerial role.

Requirements

• Knowledge of financial services regulation is required with a minimum experience of 2 years working in a Legal or Compliance position
• Excellent written and verbal communication skills in English are required and fluency in other languages is beneficial
• Understanding of the Securities and Asset Management industry in Hong Kong