CLIENT BACKGROUND
We are partnering with an established financial institution for a Legal & Compliance professional to join their Hong Kong office. This is ideal for a mid- to senior-level candidate who thrives in a dynamic, hands-on environment.
About the Role
You will be responsible for overseeing the full spectrum of legal and compliance matters for a licensed financial institution (SFC Types 1, 4, 6, 9), with a strong focus on compliance. The firm is also offering exposure to innovative financial products.
JOB RESPONSIBILITY
- Act as the sole Legal & Compliance officer, reporting directly to senior management
- Handle daily compliance monitoring, regulatory filings, and internal controls
- Draft and review compliance policies, internal manuals, and procedures
- Review legal documents such as agreements and Private Placement Memoranda (PPMs)
- Liaise with regulators (e.g., SFC) and ensure ongoing regulatory compliance
- Support new business initiatives, including virtual asset-related projects
JOB REQUIREMENTS
- 7-15 years of experience in Legal & Compliance, preferably in small to mid-sized securities firms.
- Understanding of SFC Type 1/4/6/9 license requirements, HKEX Listing Rules, and insurance regulations.
- Familiarity with AML/KYC frameworks (AMLO) and data protection laws
- Fluent in Mandarin and English (spoken and written).
- Comfortable working independently in a lean team environment.
- Legal qualifications is a plus.
- Proactive, detail-oriented, and commercially minded.
