Head of Legal and Compliance, Reputable Securities House

Our client is a stable and well-established securities house with strong brand recognition in the Greater China market. The firm operates across asset management, brokerage, and capital markets, and is actively expanding its Hong Kong business.

Reporting to the COO, you will be responsible for building and managing the company's in-house legal and compliance function ensuring full compliance with SFC regulatory requirements; you will provide hands-on compliance advice and support for the firm's cross-border business and other securities-related transactions; you will act as the primary point of contact with the SFC, external law firms, and regulatory bodies; you will also perform any ad-hoc tasks assigned by the senior management.

Requirements:

1. Degree holder in Business or related disciplines.
2. Minimum 8+ years of experience in compliance function with reputable securities house.
3. Solid knowledge of SFC regulations applicable to licensed corporations (Type 1, 4, 6, 9 preferred).
4. Direct experience with equity derivatives or structured products is HIGHLY REGARDED.
5. Experience working in Chinese securities house is HIGHLY REGARDED.
6. Fluency in both written and spoken English and Chinese, proficiency in Mandarin is a MUST.

For more information, please contact Betty Zeng at 3598 9070 or