Chief Legal & Compliance Officer | Hong Kong, HK

Unicorn Advisor (HK) Limited • Full Time • Hong Kong, Hong Kong, HK • 1m ago

A leading securities firm is looking to hire a Chief Legal & Compliance Officer to lead the legal, regulatory, and compliance functions. This is a strategic business-partner & senior leadership role that requires a unique blend of deep transactional expertise (particularly from M&A background), hands-on experience with retail investor protection, and a pragmatic, commercial mindset. The ideal candidate has to be a qualified lawyer who has "been in the trenches" of high-volume, cross-border brokerage operations and can navigate the complexities of derivatives regulation. Further more, you need to have a proven track record of concurrently managing both legal and compliance teams, fostering a unified, high-performance culture across the two disciplines.

Key Responsibilities

Legal & Transactional Leadership

• Lead all aspects of corporate legal affairs, includingM&A , joint ventures, strategic investments, and integration of acquired entities. • Draft, review, and negotiate complex commercial agreements, including partnership deals, technology licensing, vendor contracts, and white-label arrangements. • Advise the executive team on corporate governance, capital structure, and shareholder matters.

Retail / C-End Client Legal & Compliance

• Oversee all legal and compliance matters related toretail (C-end) client onboarding, trading, and dispute resolution . • Ensure all client-facing documentation (terms of service, privacy policies, risk disclosures, and marketing materials) are legally robust and compliant across multiple jurisdictions. • Lead the response to retail client complaints, regulatory inquiries, and enforcement actions, with a focus on fair treatment and consumer protection.

Derivatives & Structured Products (Preferred)

• Provide expert legal and regulatory guidance onderivatives products (options, futures, swaps, and structured notes), including product structuring, clearing, margining, and cross-border offering rules. • Monitor and implement changes in derivatives regulation (e.g., HK SFC type 11 license).

Compliance & Risk Management

• Design, implement, and continuously enhance the compliance program, including AML/KYC, market abuse surveillance, data privacy (GDPR/CCPA), and conduct risk. • Act as the primary liaison with financial regulators, stock exchanges, and self-regulatory organizations. • Lead internal investigations and manage external counsel relationships efficiently.

Commercial Negotiation & Business Partnership

• Serve as a trusted commercial advisor to senior management (CEO, Board of Directors) and business heads (trading, product, sales, and engineering), translating legal risks into practical, business-friendly solutions. • Lead high-stakes commercial negotiations with counterparties, liquidity providers, clearing houses, and technology vendors. • Balance risk mitigation with revenue generation—demonstrating a "how can we do this?" rather than a "no" mindset.

Team Leadership – Legal & Compliance (Critical)

• Dual-function leadership : Build, mentor, and manageboth the legal team and the compliance team as one integrated, high-performing function. • Define clear roles, responsibilities, and career development paths for lawyers, compliance officers, and AML specialists across multiple jurisdictions. • Foster a collaborative culture where legal counsel and compliance officers work seamlessly together—ensuring that regulatory obligations are met without stifling business agility. • Drive succession planning, talent acquisition, and continuous professional development across both teams. • Serve as the ultimate escalation point for complex legal opinions and compliance judgments, ensuring consistency and alignment with the company's risk appetite.

Qualifications & Experience

Mandatory

• Qualified lawyer (common law or civil law) with active bar membership in a major financial hub. • 8+ years of post-qualification experience, with at least4 years in a senior leadership role (Head of Legal, Deputy GC, or CLCO). • M&A background : Proven track record of leading cross-border M&A transactions, due diligence, and post-merger integration, ideally within financial services or fintech. • Internet brokerage experience : Significant in-house experience at anonline broker, digital asset exchange, or fintech trading platform serving retail (C-end) clients. • Retail client expertise : Deep understanding of client classification, suitability/appropriateness rules, client money rules, and retail disclosure requirements. • Commercial negotiation : Demonstrated ability to lead complex, high-value commercial negotiations with external counterparties. • Proven leadership of BOTH legal and compliance teams : You must have directly managed, developed, and ledseparate legal and compliance functions (not just one of them) in a prior senior role, with demonstrable results in team performance, culture, and regulatory outcomes.

Preferred (Strong Plus)

• Derivatives experience : Hands-on knowledge of listed or OTC derivatives regulation, clearing mechanisms, and margin frameworks. • Experience withmultiple regulatory regimes (e.g., HK SFC, or SG MAS). • Familiarity withdigital assets or crypto-derivatives is a bonus.

Soft Skills & Mindset

• Exceptional business acumen—able to translate legal jargon into clear commercial trade-offs. • High emotional intelligence and stakeholder management skills; comfortable presenting to the Board and investors. • Resilient, hands-on, and comfortable in a fast-paced, 24/7 global trading environment. • Fluent inEnglish (mandatory); proficiency in Mandarin/Cantonese is a plus.

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