Regulatory Counsel

Key Responsibilities

• Advise on Hong Kong financial services regulation, including the Securities and Futures Ordinance and applicable SFC rules, codes, and guidelines.
• Support SFC licensing matters, including new licence applications, variations, and ongoing regulatory obligations.
• Provide regulatory advice in connection with new business initiatives, product launches, and business expansion.
• Assist with cross‑border regulatory matters, including coordination across multiple jurisdictions where required.
• Act as a legal partner to internal stakeholders, including trading, operations, compliance, and management teams.
• Manage routine engagement with regulators, including filings, notifications, and responses.
• Work alongside senior legal colleagues on broader regulatory issues, with a primary focus on advisory and executional regulatory work.

Requirements

• Qualified lawyer with approximately 6-12 years' post‑qualification experience (flexible depending on experience).
• Strong experience advising on financial services regulatory matters, gained either:
• In‑house at a financial institution, trading firm, hedge fund, or market‑facing business; or
• In private practice within a financial regulatory or markets team.
• Hands‑on experience with licensing and regulatory change projects.
• Solid understanding of non‑contentious regulatory frameworks applicable to securities and derivatives businesses.
• Exposure to cross‑border regulatory matters is highly preferred.
• Litigation or enforcement experience is not required.