Compliance Consultant - Investment Management

We are currently seeking a Compliance Consultant to support our client, a global investment management firm on an ongoing basis/permanent role

Responsibilities:  

Compliance

• Support regulatory filings, license applications, and internal policy implementation 
• Provide compliance support relating to SFC Type 9 license and overseas license
• Conduct KYC/AML reviews and manage compliance records and approvals. 
• Monitor regulatory developments and assist with training and audits.
• Coordinate cross-functional projects involving risk, governance, and operational compliance.

Legal

• Review standard legal documents and assist with contract execution.
• Support corporate governance and entity management activities.

Minimum Qualifications:  

• 2–8 years of experience in a SFC type 9 licensed or compliance adivsory firm.
• Familiarity with relevant regulatory frameworks across offshores, PRC, US is a bonus
• Fluent English; fluency in Mandarin is a bonus
• Legal education or training is an advantage.
• Strong organizational and multitasking skills.
• Excellent attention to detail and ability to work independently.
• Effective communication and interpersonal skills.
• Proactive, collaborative, and solutions-oriented mindset.

Compensation, Benefits & Location:

This role offers a range of competitive compensation and a highly competitive benefits package in the alternative legal services marketplace that includes health benefits and paid time off. Axiomites also get access to professional development resources and learning and development programs. Axiomites work both / either remotely or on site with our clients, depending on theirs and client’s preferences.

Axiom is the global leader in high-caliber, on-demand legal talent. Covering North America, the UK, Europe, and APAC, we enable legal departments to drive efficiency and growth and meet the demands of today’s business landscape with best in breed alterative legal services.

Axiom is a leader in diversity, inclusion, and social engagement. Diversity is core to our values, and we are proud to be an equal opportunity employer. We are proud to be named a best place to work for LGBTQ+ Equality, earning top marks in the 2021 Corporate Equality Index for the second consecutive year. Axiom’s legal department is Mansfield certified and is committed to considering at least 50% diverse candidates for leadership roles and outside counsel representation.

Equal Opportunity Employer: Axiom ensures equal employment opportunity in recruitment and employment, without discrimination or harassment on the basis of race, color, nationality, national or ethnic origin, religious creed or belief, political opinion, gender reassignment, pregnancy or maternity, age, disability, alienage or citizenship status, marital (or civil or other partnership recognized by law) status, genetic predisposition or carrier status, sexual orientation, military service, or any other characteristic protected by applicable law. Axiom prohibits and will not tolerate any such discrimination or harassment.

Accommodation for Individuals with Disabilities: Upon request and consistent with applicable laws, Axiom will provide reasonable accommodation for individuals with disabilities who require accommodation to participate in each stage of the recruitment process. To request an accommodation to complete the application form, please contact us at benefits@axiomlaw.com and include “Applicant Accommodation” in the subject line.

Axiom respects your privacy. For an explanation of the kind of information we collect about you and how it is used, our full privacy notice is available at https://www.axiomlaw.com/privacy-notice.

Employment with Axiom may be contingent upon successful completion of a background check, providing proof of identity, and possessing the necessary legal authorization to work.

By submitting an application, you acknowledge that all information contained therein, and provided at any part of the application process, is correct and accurate to the best of your knowledge.

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