Head of Legal & Compliance

About the role

We are seeking an experienced and strategic Senior Legal & Compliance Manager to join our team on a full-time basis at our offices in Sheung Wan, Central and Western District. This is a pivotal role within our organization, bridging legal expertise and compliance governance to ensure Forthright Financial Holdings Company Limited operates with integrity, transparency, and regulatory adherence. You will play a critical role in protecting the organisation's reputation and supporting our business objectives through expert legal counsel and robust compliance frameworks.

Key responsibilities

1. Developing, implementing, and maintaining comprehensive compliance programmes and policies aligned with local and international banking regulations
2. Managing legal documentation, contracts, and agreements related to financial services, mergers and acquisitions, and commercial transactions
3. Liaising with regulatory authorities, including banking regulators and financial conduct bodies, to ensure ongoing compliance and address regulatory enquiries
4. Leading and supervising the legal and compliance team, providing mentorship, guidance, and professional development opportunities
5. Monitoring changes in legislation, regulations, and industry standards, and updating internal policies and procedures accordingly
6. Investigating compliance breaches, conducting root cause analysis, and implementing corrective actions

What we're looking for

1. Bachelor’s degree, Law/Finance/Business/Risk major preferred
2. 10+ years of legal/compliance experience in the Hong Kong securities industry, with at least 5 years in a managerial role at an SFC-licensed corporation (online brokerage preferred)
3. Proven experience in managing legal teams and building compliance frameworks within financial institutions
4. Excellent negotiation and drafting skills, with the ability to communicate complex legal and compliance matters clearly to both technical and non-technical stakeholders
5. Demonstrated leadership qualities with the ability to influence and drive change across the organization