Overview

• A leading Chinese investment bank in Hong Kong, backed by a major Chinese banking group, is seeking a senior Legal and Compliance professional to lead its Legal & Compliance function. This is a hands-on leadership role reporting directly to the CEO, with responsibility for a team of approximately five professionals. • The role places particular emphasis on Investment Banking Division (IBD) compliance — especially IPO sponsoring activities — and SFC licensing matters. The successful candidate will provide strategic and day-to-day advisory support to senior management and the business, while ensuring robust compliance frameworks and regulatory engagement.

Key Responsibilities

• Serve as the senior Legal and Compliance leader, providing expert advice on business activities and regulatory requirements relating to SFC Type 1, 4, 6 and 9 licensed activities. • Lead the overall Legal & Compliance function, covering Investment Banking, Global Markets (including equities and FICC sales & trading), and limited buyside activities such as bonds and private equity. • Oversee SFC licence applications, variations, notifications and ongoing licensing compliance. • Enhance, maintain and update compliance policies and procedures, including the Compliance Manual covering code of conduct, Chinese Wall, restricted/watch list, conflicts of interest, suitability, product due diligence, anti-corruption & bribery, AML and related controls. • Provide practical guidance to the business on Chinese Wall arrangements, wall-crossing procedures and conflict management. • Supervise Control Room functions to ensure compliance with Disclosure of Interests under the SFO and relevant SFC Codes, and manage research and conflict clearance processes. • Support IBD compliance matters, including IPO-related advisory, while ensuring balanced coverage across other business lines. • Collaborate closely with front-office functions to identify and manage regulatory and reputational risks. • Advise business line management on compliance and regulatory matters, and support the resolution of issues involving compliance or regulatory risk. • Identify regulatory or reputational risks and escalate material matters to the CEO and Board as appropriate. • Oversee and regularly review the compliance monitoring programme. • Play a leading role in strategic and policy issues concerning compliance and regulatory matters affecting the Hong Kong business. • Prepare internal compliance reports as required by senior management and Head Office. • Liaise with regulators (primarily SFC and, where relevant, HKEX) on business-related compliance matters. • Advise management and business units on compliance aspects of new products and services.

Requirements

• Minimum 10 years of relevant legal and/or compliance experience in the financial services industry, together with a Bachelor’s degree or higher. • Strong preference for candidates with working experience at the SFC or HKEX, or who are Hong Kong qualified lawyers (solicitors). • Prior experience in Chinese financial institutions, investment banks or fund houses is desirable. Experience in entities holding SFC Type 1, 4, 6 and/or 9 licences is a plus. • Solid practical experience in IBD / IPO compliance, including knowledge of the sponsor regime, Listing Rules and related SFC/HKEX requirements. • Proven experience in developing compliance policies and procedures, delivering training, and conducting compliance reviews and investigations. • Strong working knowledge of the Securities and Futures Ordinance and subsidiary legislation, as well as other regulations applicable to licensed corporations in Hong Kong. • Excellent communication, stakeholder management and teamwork skills, with the ability to provide clear and practical advice to senior management and front-office teams. • Proficiency in written and spoken Chinese/Mandarin. Strong English language skills are expected.

Summary

• This is a high-visibility role reporting directly to the CEO, with the opportunity to shape and strengthen the Legal & Compliance function of a growing Chinese investment bank in Hong Kong. The position offers meaningful influence on regulatory strategy, IBD compliance standards and licensing matters, supported by the resources of a major Chinese banking group. • An attractive senior-level compensation package will be offered, commensurate with experience. Further details will be discussed confidentially with shortlisted candidates.

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Head /Deputy Head of Legal and Compliance | Hong Kong, HK | In-Office