Hong Kong at night in black and white

Legal & Compliance Manager – Hong Kong

Our client is an expanding investment banking advisory firm that is now recruiting a Legal & Compliance manager, who will oversee all relevant regulatory matters for the firm across its APAC jurisdictions. This newly created role will suit compliance professionals with solid experience in handling regulatory enquiries and licence registrations with FCA, FINRA, SEC, SFC and other regional regulators. Working closely with a global team of diverse professionals, you will take the lead in implementing the firm’s compliance processes and dealing with risk and compliance issues as they arise.

Successful applicants will possess:

  • A degree in Business, Accountancy, Finance or Law with at least 5 years of experience in regulatory compliance.
  • Sound knowledge and experience with FCA, FINRA, SEC, SFC and related regulatory requirements.
  • Experience in compliance work dealing with Type 1, 4, 6 and 9 regulated activities in investment banks or SFC licenced conditions.
  • Strong attention to detail with excellent interpersonal skills and strong work ethics.
Website Job Registration - Listing Pages