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  • 01 Dec 2020

    Head of Legal & Compliance

    Hong Kong

    Permanent Position
    Our client, a leading Chinese investment bank is currently looking for a qualified lawyer to lead its legal & compliance department. Incumbent can look forward to a stable work environment with excellent exposure in this senior appointment with the bank.

    Job Description

    • Provides leadership to the legal & compliance department as well as to assume the role as the Company Secretary of the bank.
    • Develop proper controls, policies and procedures to ensure the Company complies with internal and external legal and regulatory requirements
    • Implement, review and update compliance programs, internal control policies, procedures and guidelines including KYC, AML and Chinese-wall
    • Provide on-going advisory services to board of directors, management and business units on issues regarding compliance with companies’ ordinance, SFC regulations and banking ordinance, etc.
    • Monitor and conduct regular compliance and risk reviews on business activities
    • Investigate escalated compliance issues, draft and review legal agreements and product documents.
    • Develop and deliver appropriate training to staff and promote compliance awareness within the Company
    • Provide company secretarial services including organizing & facilitating meetings of directors and general meetings, preparing board minutes and reports
    • Liaise with external vendors and regulatory bodies for enquiries, reporting, inspection or investigation


    Expires on 31 Dec 2020

    Posted By

    Jared Ng

    Tel: (852) 2521-5118


    • Degree holder in law or other related discipline
    • Qualified lawyer with 12 years or more relevant experience in legal or compliance function in financial service industry or regulatory body
    • Well versed with the SFC regulations, banking ordinance, company ordinance and other regulatory requirements
    • Strong communication ability to interact well with management and business unit managers
    • Self-motivated, highly independent with professional integrity
    • Good command of written and spoken English and Chinese (Putonghua and Cantonese)


    Interested Applicants please send your resume (in Word format) together with present and expected salary to Jared Ng:


    Tel: (852) 2521-5118 ext. 818



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