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Head of Legal & Compliance - Chinese Securities

  • Job type: Job Type: Permanent
  • Job reference: : Job Reference: BBBH90263
  • Location: Location: Hong Kong
  • Sector: Sector: Finance, Credit, Risk, Legal & Compliance, Utilities
  • Salary: Salary: US$80000 - US$120000 per annum + discretionary bonus and benefits
  • Date posted: Date Posted: 05/08/2016
This vacancy has now expired.
Our client is a highly reputable Chinese securities business with a AA grading is currently seeking a Head of Legal and Compliance as their HK entity is still in their early stages of formalisation.

As this business continues to grow their HK business, they are now seeking a Head of Legal & Compliance to oversee the full department where previously the legal and compliance professionals were reporting to the Head of Legal & Compliance in Beijing.

In your job function as the Head of Legal and Compliance, you will be the key point of contact to oversee all legal and compliance matters, supporting senior management and business units within the HK entity. Your function will be to oversee day to day regulatory activities, driving process improvement and be the point of contact to coordinate with regulators for enquiries, reporting, inspection, and investigation.

To be considered for this excellent job opportunity of the Head of Legal and Compliance, you will need to have a minimum of 8 years experience within a Legal and compliance function within financial services, strong exposure dealing with SFC codes and guidelines, as well as other regulatory requirements i.e. Securities and Futures Ordinance. Additional exposure in financial products such as GMSLA, GMRA, FRR, FTCA and CRS would be highly advantageous.

In return, this company is offering someone a platform to further their accountability within Legal and Compliance with full accountability to drive improvement and operational efficiency.

To apply, contact Aeris Chan on

For more information about this role please contact our Hong Kong office