Senior Compliance Associate
The compliance specialist is a senior governance and compliance professional within the law firm, responsible for advising and supporting client companies — particularly those preparing for listing or already listed — to ensure full compliance with statutory, regulatory, and listing requirements.
Key Responsibilities
· Lead post‑listing compliance matters as a priority, ensuring client companies meet continuing obligations under the Listing Rules and governance codes.
· Maintain statutory records for client companies in line with regulatory requirements.
· Ensure timely filing of annual/interim reports, announcements, and other statutory submissions.
· Advise boards of directors on corporate governance responsibilities and disclosure obligations.
· Support corporate transactions with compliance oversight and risk management input.
· Act as liaison between client companies and government/regulatory authorities (Companies Registry, Inland Revenue Department, Securities and Futures Commission, Stock Exchange).
· Provide ongoing advisory on legislative changes, regulatory updates, and best practices in governance.
· Draft and review governance policies, compliance manuals, and board procedures.
· Monitor regulatory developments and proactively update clients on implications for their operations.
· Coordinate with external counsel and auditors to ensure alignment on compliance and governance matters.
Requirements
· Chartered Secretary / Governance Professional qualification (HKCGI/ICSA or equivalent).
· 6–8 years experience in corporate governance and compliance, ideally within a professional services or law firm environment.
· Strong knowledge of Hong Kong Companies Ordinance, Listing Rules, and securities regulations.
· Excellent drafting and communication skills; bilingual proficiency (English and Chinese) preferred.