Head /Deputy Head of Legal and Compliance
Core
Lead the Legal & Compliance function for a Chinese investment bank in Hong Kong, focusing on Investment Banking Division compliance, IPO sponsoring, and SFC licensing.
Role type
Senior Legal and Compliance Leader (Head/Deputy Head)
Builds
Robust compliance frameworks, regulatory engagement strategies, and licensing compliance for IBD, Global Markets, and buyside activities.
Domain
Financial Services / Investment Banking / Hong Kong Regulatory Compliance
Required skills
SFC licensing expertise, IPO compliance, Securities and Futures Ordinance knowledge, compliance policy development, regulatory risk management, stakeholder management, written and spoken Chinese/Mandarin, English language skills
Preferred skills
Experience at SFC or HKEX, Hong Kong qualified lawyer (solicitor), experience in Chinese financial institutions, IBD/IPO sponsor regime knowledge
Technologies
SFC Codes, SFO, Listing Rules, Compliance Manual systems
Responsibilities
Oversee SFC licence applications and ongoing licensing compliance; enhance compliance policies and procedures; provide guidance on Chinese Wall and conflict management; supervise Control Room functions for Disclosure of Interests; advise on IBD compliance including IPO advisory; liaise with regulators (SFC, HKEX); identify and escalate regulatory/reputational risks; prepare internal compliance reports.
Seniority
Senior, hands-on IC with leadership responsibilities