about the company.
Our client is a sizeable SFC type 1,4,6,9 licensed company, who is looking for a Head of Legal & Compliance to lead the team and support their business expansion.
about the team.
Reporting to the senior management of the institution, you will be leading a sizeable team of talented legal & compliance counsels and support the full spectrum of the legal & compliance matters for the Company
about the job.
- Provide legal advice to the senior management and develop the appropriate internal legal & compliance framework and guidelines
- Provide transnational and advisory legal support on various business including Brokerage, Corporate Finance, Asset Management and Global Markets
- Review corporate and commercial contracts, and deal with regulatory and dispute work
- Maintain cordial relationships with various regulatory bodies, including SFC and HKEX, etc and also with Head Office
- Responsible for advising the business and management on compliance matters
- Liaise with external lawyer to provide legal advice to the business
skills & experiences required.
- Qualified lawyer with a minimum of 15 years’ relevant experience from law firms, securities companies or other financial institutions
- Strong knowledge in Corporate Finance, Capital Markets, SFC authorized funds and private funds, Institutional Sales and/or Brokerage businesses
- Solid experience on Corporate Law, Compliance and Corporate Governance matters
- Good commend of spoken and written English and Mandarin
Please click the link to apply for this role. Alternatively, for a confidential discussion please contact Faye Zheng at + 852 2232 3467 or email: faye.zheng@randstad.com.hk
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