VMS Investment Group of Companies (the “Group”), is a leading multi-strategies financial group with diversified businesses covering proprietary investments, structured finance, asset management, securities brokerage and corporate finance advisory. The Group, with AUM over USD 2 billion, makes private investments in private / public equity and pre-IPO investments as well as special situation investments including distressed assets, acquisitions of controlling equities, collateralized loans and bonds.
The Group is currently seeking for high caliber candidate to fill up the following position:
Managing Director – Legal, Compliance and Corporate Secretary
|Work exp||Minimum 10 Years|
|Employment type||Full Time|
Management > Top Executives (CEO, CFO, CTO, Director, MD)
Legal / Professional Services > Legal & Compliance
Legal / Professional Services > Company Secretary
Manage a team of 3-5, to oversee and ensure the Group’s business operations being strictly comply with applicable legal and regulatory requirements:
- Offer advice to structured finance, private equity and investment banking broking units on legal issues on investment transactions, deal structuring and fund set up.
- Draft and review legal documents, including terms sheets, general contracts, NDAs & etc. for the Group
- Provide legal advice on new business initiatives and point out any legal issues to the senior management
- Assess legal risk associated with various projects and potential transactions and provide accurate legal advices to business units
- Advise business units on various compliance-related issues including AML, general compliance, monitoring and surveillance and cross-border issues etc.
- Regular review and maintain internal control procedures for the Group
- Oversee compliance, regulatory and licensing matters of all operating units and investment entities including investment fund and their SPVs
- Identify associated compliance risks and impacts to the Group and offer recommendations and solutions to various business units
- Monitor the SFC FRR requirements
- Conduct Compliance training to employees of the Group
- Oversee full spectrum of corporate secretarial duties and responsible for company secretarial compliance works for the Group
- Ensure corporate governance and compliance with applicable laws and regulations.
- University degree with relevant professional qualifications in Law or Accounting
- Minimum 10 years’ relevant compliance experience gained from sizeable financial institution
- Comprehensive knowledge on compliance and regulatory requirements in HK (SFC, HKMA) and Asia Pacific region
- Good understanding on fund management business such as SFO and FATCA
- Solid experience in dealing with regulators on enquiries and contentious matters
- Good team player, work well with business units
- Excellent command of both written and spoken English and Chinese including Putonghua