Head of Legal & Compliance

Our client is a Wealth Management Firm who has been active in the market for a few decades with strong GBA footprints and is backed-up by an Investment Group. Their business is sustained by its forward-looking vision, persistence and resilience. Their trading volume has grown rapidly, and eager to capture the market and expand further. With the changing needs of the markets, to help business optimize their talents and commitment towards sustainable development & growth in the regions, they are currently looking for a Legal & Compliance talent to join the organization and lead the team to support the business to greater heights. The role will be based in Hong Kong.

• As the Department Head of Legal and Compliance functions in the firm

• Act as the KPIC and liaise with regulators

• Draft, review and negotiate full spectrum of commercial contracts and agreements

• Identify and mitigate legal, compliance and regulatory risks

• Advise BoD and senior management on legal, compliance and regulatory matters

• Handle litigations and disputes

• Advise relevant stakeholders to support their business activities and/or new initiatives and launch relevant programs and improvement framework 

• Liaise with external lawyers

• Support in ad hoc projects and assignments

PQE 10+, preferably with Insurance/Wealth Management/Financial Services/Banking industry background. Be the subject matter expert and experience in facing top management. As one of the main legal representatives of the company, you must possess excellent presentation and communication skills and be fluent in Chinese and English. Possess a strategic mindset, excellent risk awareness, global vision and being ethical. Embrace changes and flexible. You should also possess strong commercial acumen, organized & analytical with the ability to manage mid-large projects well.

Our client offers a work environment that is stimulating, challenging and balanced. You will be working in a Highly Visible Role within an Established Organization; and being part of an Employee Centric Business that provides a large degree of autonomy to their management team and encourage creativity and development of new ideas.