Head /Deputy Head of Legal and Compliance

Overview

1. A leading Chinese investment bank in Hong Kong, backed by a major Chinese banking group, is seeking a senior Legal and Compliance professional to lead its Legal & Compliance function. This is a hands-on leadership role reporting directly to the CEO, with responsibility for a team of approximately five professionals.
2. The role places particular emphasis on Investment Banking Division (IBD) compliance — especially IPO sponsoring activities — and SFC licensing matters. The successful candidate will provide strategic and day-to-day advisory support to senior management and the business, while ensuring robust compliance frameworks and regulatory engagement.

Key Responsibilities

1. Serve as the senior Legal and Compliance leader, providing expert advice on business activities and regulatory requirements relating to SFC Type 1, 4, 6 and 9 licensed activities.
2. Lead the overall Legal & Compliance function, covering Investment Banking, Global Markets (including equities and FICC sales & trading), and limited buyside activities such as bonds and private equity.
3. Oversee SFC licence applications, variations, notifications and ongoing licensing compliance.
4. Enhance, maintain and update compliance policies and procedures, including the Compliance Manual covering code of conduct, Chinese Wall, restricted/watch list, conflicts of interest, suitability, product due diligence, anti-corruption & bribery, AML and related controls.
5. Provide practical guidance to the business on Chinese Wall arrangements, wall-crossing procedures and conflict management.
6. Supervise Control Room functions to ensure compliance with Disclosure of Interests under the SFO and relevant SFC Codes, and manage research and conflict clearance processes.
7. Support IBD compliance matters, including IPO-related advisory, while ensuring balanced coverage across other business lines.
8. Collaborate closely with front-office functions to identify and manage regulatory and reputational risks.
9. Advise business line management on compliance and regulatory matters, and support the resolution of issues involving compliance or regulatory risk.
10. Identify regulatory or reputational risks and escalate material matters to the CEO and Board as appropriate.
11. Oversee and regularly review the compliance monitoring programme.
12. Play a leading role in strategic and policy issues concerning compliance and regulatory matters affecting the Hong Kong business.
13. Prepare internal compliance reports as required by senior management and Head Office.
14. Liaise with regulators (primarily SFC and, where relevant, HKEX) on business-related compliance matters.
15. Advise management and business units on compliance aspects of new products and services.

Requirements

1. Minimum 10 years of relevant legal and/or compliance experience in the financial services industry, together with a Bachelor’s degree or higher.
2. Strong preference for candidates with working experience at the SFC or HKEX, or who are Hong Kong qualified lawyers (solicitors).
3. Prior experience in Chinese financial institutions, investment banks or fund houses is desirable. Experience in entities holding SFC Type 1, 4, 6 and/or 9 licences is a plus.
4. Solid practical experience in IBD / IPO compliance, including knowledge of the sponsor regime, Listing Rules and related SFC/HKEX requirements.
5. Proven experience in developing compliance policies and procedures, delivering training, and conducting compliance reviews and investigations.
6. Strong working knowledge of the Securities and Futures Ordinance and subsidiary legislation, as well as other regulations applicable to licensed corporations in Hong Kong.
7. Excellent communication, stakeholder management and teamwork skills, with the ability to provide clear and practical advice to senior management and front-office teams.
8. Proficiency in written and spoken Chinese/Mandarin. Strong English language skills are expected.

Summary

1. This is a high-visibility role reporting directly to the CEO, with the opportunity to shape and strengthen the Legal & Compliance function of a growing Chinese investment bank in Hong Kong. The position offers meaningful influence on regulatory strategy, IBD compliance standards and licensing matters, supported by the resources of a major Chinese banking group.
2. An attractive senior-level compensation package will be offered, commensurate with experience. Further details will be discussed confidentially with shortlisted candidates.