Legal and compliance, Director

Job Title: Legal and compliance, Director
Contract Type: Permanent
Location: Hong Kong
Salary: Negotiable
Reference: 47836_1631781519
Contact Name: Jessie Chan
Contact Email:
Job Published: September 16, 2021 16:38

Job Description

About Our Client

My client is an investment management and financial services platform that focuses on the technology industry, they are managing a private equity funds with over US$2.5 billion. They are now looking for a senior legal and compliance candidate, reporting directly to the Chairman & CEO.

About The Role

  • Provide legal advice and guideline to the business units such as asset management, private equity and corporate finance to ensure in compliance with the laws, rules and regulations set by SFC
  • Monitor and manage the legal and compliance works and business activities for the Group, ensure to comply with the internal policies and external regulations
  • Draft, review, negotiate and advise agreements, legal contracts and documents
  • Implement the compliance manual, review and update the policies and procedures periodically
  • Handle licensing issues and information requests from SFC and business units
  • Carry out compliance trainings to the business units and provide advice to the management
  • Handle ad hoc projects when required


  • Degree holder preferably in Law, Accounting or business-related disciplines; qualified lawyer is a must;
  • At least 6 years relevant experience related to the industries of asset management and corporate finance, relevant experience in handling private equity business is highly preferred
  • Familiar with Securities and Futures Ordinance related to RA1, 4, 6 and 9
  • Independent, self-motivate with good communication skills
  • Good command of written and spoken English and Chinese with fluency in Mandarin

Click "Apply Now" to apply for this position or call Jessie Chan at +852 3180 4945 for a confidential discussion. All information collected will be kept in strict confidence and will be used for recruitment purpose only.