Head of Legal & Compliance
Manduarh Consultancy Limited
Central & Western District Hong Kong

Description : :

Our client is a multi-cultural investment bank with branches and businesses stretching around the globe. Their major activities in Hong Kong involving SFC RA 1, 2, 4 & 6.

The role :

  • Report to CEO and supervise a team to effective the daily operation
  • Oversee all legal and compliance related matters as well as provide professional regulatory advice to all BUs and departments to ensure the regulatory compliance with SFO and other relevant regulations
  • Liaise with HKEX, SFC and relevant regulatory bodies for all compliance and licensing matters as well as identify and evaluate compliance risks of the operations and business activities
  • Act as in-house counsel to provide general legal advice and support, with principal focus on service agreements, commercial contracts and banking facilities
  • Conduct legal research for case verification, due diligence, contractual and other corporate documents as well as draft, review and advise on general legal and business documentation
  • Establish and maintain compliance policies, procedures and manuals for all business units with effective measurements for internal control purpose
  • Keep abreast of updated regulations and take initiative approach to advise the updates and drive for necessary changes to the BUs and departments
  • Requirement : :

  • Bachelor Degree or above in Corporate or Commercial Law or equivalent (LLB)
  • 6+ relevant experience in Legal & Compliance function gained from Financial Institution
  • Strong knowledge in SFC, HKEx regulations and other regulatory requirements in relation to securities and futures business with solid experience in developing policies and procedures
  • Hands-on and able to work independently with excellent presentation and social skills
  • Excellent in both written and spoken Chinese and English (including Mandarin)
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