Senior Compliance Associate (Post Listing Compliance)

Senior Compliance Associate

The compliance specialist is a senior governance and compliance professional within the law firm, responsible for advising and supporting client companies — particularly those preparing for listing or already listed — to ensure full compliance with statutory, regulatory, and listing requirements.

Key Responsibilities

· Lead post‑listing compliance matters as a priority, ensuring client companies meet continuing obligations under the Listing Rules and governance codes.

· Maintain statutory records for client companies in line with regulatory requirements.

· Ensure timely filing of annual/interim reports, announcements, and other statutory submissions.

· Advise boards of directors on corporate governance responsibilities and disclosure obligations.

· Support corporate transactions with compliance oversight and risk management input.

· Act as liaison between client companies and government/regulatory authorities (Companies Registry, Inland Revenue Department, Securities and Futures Commission, Stock Exchange).

· Provide ongoing advisory on legislative changes, regulatory updates, and best practices in governance.

· Draft and review governance policies, compliance manuals, and board procedures.

· Monitor regulatory developments and proactively update clients on implications for their operations.

· Coordinate with external counsel and auditors to ensure alignment on compliance and governance matters.

Requirements

· Chartered Secretary / Governance Professional qualification (HKCGI/ICSA or equivalent).

· 6–8 years’ experience in corporate governance and compliance, ideally within a professional services or law firm environment.

· Strong knowledge of Hong Kong Companies Ordinance, Listing Rules, and securities regulations.

· Excellent drafting and communication skills; bilingual proficiency (English and Chinese) preferred.