Our client is a multi-cultural investment bank with branches and businesses stretching around the globe.  Their major activities in Hong Kong involving SFC RA 1, 2, 4 & 6.

The role:

• Report to CEO and supervise a team to effective the daily operation
• Oversee all legal and compliance related matters as well as provide professional regulatory advice to all BUs and departments to ensure the regulatory compliance with SFO and other relevant regulations
• Liaise with HKEX, SFC and relevant regulatory bodies for all compliance and licensing matters as well as identify and evaluate compliance risks of the operations and business activities
• Act as in-house counsel to provide general legal advice and support, with principal focus on service agreements, commercial contracts and banking facilities
• Conduct legal research for case verification, due diligence, contractual and other corporate documents as well as draft, review and advise on general legal and business documentation
• Establish and maintain compliance policies, procedures and manuals for all business units with effective measurements for internal control purpose
• Keep abreast of updated regulations and take initiative approach to advise the updates and drive for necessary changes to the BUs and departments