Head of Legal and Compliance

Job Title: Head of Legal and Compliance
Contract Type: Permanent
Location: Hong Kong, Hong Kong
Salary: Negotiable
Reference: LM 18394_1548906714
Contact Name: Audrey Chang
Contact Email:
Job Published: January 31, 2019 11:51

Job Description

Premier Investment Research and Brokerage Firm is seeking a Head of Legal and Compliance to support their growing Asian operations including sales & trading and renowned investment research arm.

Ideally, candidates will have circa 6 - 10 years pqe, have trained in a top law firm and have had some in-house experience. Experience gained within a brokerage or investment bank supporting research or trading teams would be very helpful. Responsibilities will include advising on a range of contracts including brokerage and trading agreements; providing advice on regional regulations and commercial matters.

We are seeking a smart, commercial lawyer who can communicate effectively with the 'business' - the research analysts and associates; the sales team and the traders. The person will need to understand/ interpret how the SFC regulations impacts the business and provide proactive support within a fast moving environment. They will need to communicate effectively with the global Legal and Compliance team and influence stakeholders internally. This is a highly professional, supportive and colleagiate environment and a great opportunity for a lawyer seeking a visible in-house opportunity.

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