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Legal & Compliance Manager - Listed Financial Institution in HK
Larson MaddoxHong Kong, Hong Kong18 天前
职位描述7-15 years of experience in Legal &pliance, 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). Legal qualifications is a plus. Proactive, detail-oriented, andmercially minded.
CLIENT BACKGROUND
We are partnering with an established financial institution for a Legal &pliance 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 andpliance matters for a licensed financial institution (SFC Types 1, 4, 6, 9), with a strong focus onpliance. The firm is also offering exposure to innovative financial products.
JOB RESPONSIBILITY
- Act as the sole Legal &pliance officer, reporting directly to senior management
- Handle dailypliance monitoring, regulatory filings, and internal controls
- Draft and reviewpliance policies, internal manuals, and procedures
- Review legal documents such as agreements and Private Placement Memoranda (PPMs)
- Liaise with regulators (, SFC) and ensure ongoing regulatorypliance
- Support new business initiatives, including virtual asset-related projects
JOB REQUIREMENTS
Job ID PR / 550014
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Compliance Manager • Hong Kong, Hong Kong