Head of Legal & Compliance (Hong Kong)

Job Purpose

The Head of Legal & Compliance will safeguard the company’s operations across its comprehensive regulated ecosystem, spanning SFC (Types 1, 4, 9), TCSP, MSO, and MLO licenses. This role requires an experienced legal professional to independently manage corporate governance, draft high-level cross-border commercial agreements, and mitigate operational risks. You will act as the principal internal legal advisor, ensuring full alignment between aggressive commercial growth and Hong Kong's strict regulatory frameworks.

Key Responsibilities

1. Regulatory Compliance & Supervisory Affairs

1. Compliance Audits: Lead the compliance review of all business activities, products, and marketing structures to guarantee full alignment with Hong Kong laws.
2. Regulatory Frameworks: Maintain absolute compliance with guidelines issued by the SFC, Customs and Excise Department, Registry of TCSPs, and the Money Lenders Registry.
3. Licensing Maintenance: Supervise corporate licensing renewals, regulatory disclosures, and ongoing statutory reporting requirements.

2. Contract Drafting & Review

1. Bilingual Drafting: Independently draft, review, and negotiate complex commercial contracts, partnership agreements, and legal documents in both English and Chinese.
2. Risk Mitigation: Analyze contractual terms to protect company interests, ensure enforceability under Hong Kong law, and eliminate operational liabilities.

3. Legal Advisory & Cross-Border Support

1. Business Advisory: Provide timely, accurate, and actionable legal opinions to commercial teams on day-to-day operations and new product rollouts.
2. Cross-Border Structuring: Assess and structure complex transactions, ensuring compliant capital flows and data privacy across cross-border business lines.

4. Dispute Resolution & Litigation Management

1. Case Strategy: Represent the company in managing local litigations, arbitrations, and contractual disputes within the Hong Kong judicial system.
2. External Counsel Management: Serve as the primary liaison with external law firms, optimizing legal spend and ensuring high-quality external representation.

5. Internal Training & Risk Prevention

1. Culture of Compliance: Conduct regular training sessions for employees to elevate legal literacy, AML/CTF awareness, and compliance culture.
2. Risk Architecture: Design, update, and implement internal control policies and risk prevention frameworks to protect organizational integrity.

Requirements & Qualifications (任職資格)

Education & Credentials

1. Academic Background: Bachelor of Laws (LLB) or Master of Laws (LLM) from a top-tier law school (e.g., HKU, CUHK, CityU, or reputable international equivalents).
2. Professional Track: Completion of the Postgraduate Certificate in Laws (PCLL) or pass certificate in the Overseas Lawyers Qualification Examination (OLQE).
3. Practicing Status: Qualified Solicitor in Hong Kong (holding a current practicing certificate) is highly preferred.

Experience & Knowledge

1. Professional Tenure: Minimum of 3 years of post-qualification experience (PQE) within a reputable Hong Kong law firm or as an in-house counsel in a large enterprise.
2. Regulated Financial Background: Direct exposure to the Hong Kong financial regulatory landscape is highly preferred, with specific experience in MSO, MLO, SFC Licenses (Types 1, 4, 9), banking, or factoring operations.
3. Judicial Familiarity: Solid understanding of Hong Kong court procedures, corporate law, and financial regulatory ordinances (SFO, AMLO).

Skills & Competencies

1. Bilingual Mastery: Exceptional bilingual capability in English and Chinese (written and spoken). Must be capable of independently negotiating and drafting professional legal documents.
2. Soft Skills: Strong logical thinking, excellent communication skills, high emotional intelligence, and a collaborative team-player mindset.