Head of Legal & Compliance
Forthright Financial Holdings Co., Ltd Hong KongHead of Legal & Compliance
About the role
We are seeking an experienced and strategic Senior Legal & Compliance Manager to join our team on a full-time basis at our offices in Sheung Wan, Central and Western District. This is a pivotal role within our organization, bridging legal expertise and compliance governance to ensure Forthright Financial Holdings Company Limited operates with integrity, transparency, and regulatory adherence. You will play a critical role in protecting the organisation's reputation and supporting our business objectives through expert legal counsel and robust compliance frameworks.
Key responsibilities
- Developing, implementing, and maintaining comprehensive compliance programmes and policies aligned with local and international banking regulations
- Managing legal documentation, contracts, and agreements related to financial services, mergers and acquisitions, and commercial transactions
- Liaising with regulatory authorities, including banking regulators and financial conduct bodies, to ensure ongoing compliance and address regulatory enquiries
- Leading and supervising the legal and compliance team, providing mentorship, guidance, and professional development opportunities
- Monitoring changes in legislation, regulations, and industry standards, and updating internal policies and procedures accordingly
- Investigating compliance breaches, conducting root cause analysis, and implementing corrective actions
What we're looking for
- Bachelor’s degree, Law/Finance/Business/Risk major preferred
- 10+ years of legal/compliance experience in the Hong Kong securities industry, with at least 5 years in a managerial role at an SFC-licensed corporation (online brokerage preferred)
- Proven experience in managing legal teams and building compliance frameworks within financial institutions
- Excellent negotiation and drafting skills, with the ability to communicate complex legal and compliance matters clearly to both technical and non-technical stakeholders
- Demonstrated leadership qualities with the ability to influence and drive change across the organization
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