Head of Legal & Compliance | HK Talent Engage

Job description

Job Purpose

• Direct all legal and compliance functions and activities of the SFC licensed subsidiaries.

Key Responsibilities

• Advise line managers on legal aspects relating to investment banking, fund management, securities and related matters;
• Responsible for all legal documentation review such as client agreements for institutional brokerage, relationship with sell-side counterparties, key finance documents e.g. loan facilities, term sheets, security documents, etc) before Management approval is sought;
• Provision of legal support for underwriting and placement, private equity financing, debt financing, setting up and distribution of authorized and non-authorized funds;
• Advise the structure of fund investments including establishment and subsequent investments;
• Advise the formation of offshore companies and support business in negotiations with LPs;
• Represent the Company in litigation, and all matters under negotiation with the regulatory bodies;
• Liaise with external lawyers on outsource works;
• Work with representatives from various departments on developing and modifying practices and procedures to conform to legal requirements;
• Build the compliance control function including policy, system and rules for both corporate and product compliance;
• Ensure all activities in the Group are in compliance with Securities & Futures Ordinance;
• Oversee company secretarial matters with local or overseas agents, and consolidate company secretarial information in one database

Requirements

• A minimum of 10 years’ relevent experiences in SFC licensed corporations.
• In depth knowledge on investment banking legal matters and has PRC exposure.
• Familiar with Company Ordinance and Securities & Futures Ordinance.
• Good interpersonal and people management skills.
• Good command of written and spoken English and Chinese (including Putonghua)