We are seeking a highly experienced Legal and Compliance Director. The ideal candidate will have at least 8 years of experience in legal and compliance roles, with a strong background in the financial sector. This position requires a proactive individual who can navigate complex regulatory environments and provide strategic guidance to ensure our organization remains compliant with all applicable laws and regulations.
Key Responsibilities
- Develop and implement compliance programs and policies to ensure adherence to local and international regulations.
- Monitor regulatory changes and assess their impact on the organizations operations and compliance strategies.
- Conduct regular compliance audits and risk assessments to identify areas for improvement and ensure effective controls are in place.
- Provide legal advice and support on a range of issues, including contracts, corporate governance, and regulatory matters.
- Liaise with regulatory bodies and manage communications during audits or investigations.
- Collaborate with various departments to foster a culture of compliance and ethical conduct within the organization.
- Prepare and deliver training sessions for staff on compliance-related topics and best practices.
- Maintain accurate records of compliance activities and reports for senior management and the board of directors.
Qualifications
- Bachelors degree in Law, Business, Finance, or a related field; a Masters degree or relevant legal qualifications (e.g., LLB, JD) is preferred.
- Minimum of 9 years of experience in legal and compliance roles, Securities experience is a MUST
- Strong knowledge of local and international regulatory frameworks, including anti-money laundering (AML), data protection, and securities regulations.
- Excellent analytical, problem-solving, and decision-making skills.
- Strong communication and interpersonal skills, with the ability to effectively interact with stakeholders at all levels.
- High level of integrity and professionalism, with a commitment to ethical business practices.
- Proficiency in both English and Cantonese; Mandarin is a plus.
- Less experience will be considered AD level i.e. 8 years of experience