Our Client – Leading Chinese Securities Firm Confidential Hire Head of Legal & Compliance

Key Responsibilities:

- Oversee and coordinate the company’s overall compliance and legal affairs, develop and enhance compliance policies, procedures, and internal control systems to ensure adherence to regulatory requirements from the Hong Kong SFC, HKMA, and international authorities.

- Lead the review of major legal documents, conduct compliance assessments for transaction structures, manage regulatory filings, and mitigate legal risks in cross-border operations.

- Monitor and interpret real-time updates on Hong Kong and international financial regulatory developments.

- Act as the primary liaison with regulatory bodies, spearhead responses to compliance reviews, inquiries, and dispute resolutions.

- Manage the compliance and legal team, foster cross-departmental collaboration, and promote a culture of compliance awareness.

Requirements:

- Preferably hold a legal qualification (LLB or higher) from Hong Kong or a common law jurisdiction; experience with SFC Type 9 (Asset Management) and Type 1 (Securities Trading) licenses is required.

- 10–15+ years of experience in compliance and legal roles, with substantial exposure in financial institutions.

- Candidates with experience in both Chinese and foreign institutions are preferred; familiarity with regulatory frameworks and cultural nuances across jurisdictions.

- Strong analytical skills in legal risk assessment, business acumen, and ability to integrate cross-departmental resources.

- Fluency in English, Mandarin, and Cantonese

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