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

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

Retail / C-End Client Legal & Compliance

1. Oversee all legal and compliance matters related toretail (C-end) client onboarding, trading, and dispute resolution .
2. Ensure all client-facing documentation (terms of service, privacy policies, risk disclosures, and marketing materials) are legally robust and compliant across multiple jurisdictions.
3. 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)

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

Compliance & Risk Management

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

Commercial Negotiation & Business Partnership

1. 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.
2. Lead high-stakes commercial negotiations with counterparties, liquidity providers, clearing houses, and technology vendors.
3. Balance risk mitigation with revenue generation—demonstrating a "how can we do this?" rather than a "no" mindset.

Team Leadership – Legal & Compliance (Critical)

1. Dual-function leadership : Build, mentor, and manageboth the legal team and the compliance team as one integrated, high-performing function.
2. Define clear roles, responsibilities, and career development paths for lawyers, compliance officers, and AML specialists across multiple jurisdictions.
3. Foster a collaborative culture where legal counsel and compliance officers work seamlessly together—ensuring that regulatory obligations are met without stifling business agility.
4. Drive succession planning, talent acquisition, and continuous professional development across both teams.
5. 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

1. Qualified lawyer (common law or civil law) with active bar membership in a major financial hub.
2. 8+ years of post-qualification experience, with at least4 years in a senior leadership role (Head of Legal, Deputy GC, or CLCO).
3. 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.
4. Internet brokerage experience : Significant in-house experience at anonline broker, digital asset exchange, or fintech trading platform serving retail (C-end) clients.
5. Retail client expertise : Deep understanding of client classification, suitability/appropriateness rules, client money rules, and retail disclosure requirements.
6. Commercial negotiation : Demonstrated ability to lead complex, high-value commercial negotiations with external counterparties.
7. 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)

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

Soft Skills & Mindset

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