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Legal & Compliance Manager - Listed Financial Institution in HK

Legal & Compliance Manager - Listed Financial Institution in HK

Larson MaddoxHong Kong, Hong Kong
14 天前
职位描述

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

  • 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.
  • Job ID PR / 550014

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    Compliance Manager • Hong Kong, Hong Kong

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