Compliance Director/ Senior Compliance Manager

5 days ago

Hong Kong Island, Hong Kong SAR China EX.IO Full time

Compliance Director/ Senior Compliance Manager Provide expert legal advice to the executive team on all legal and regulatory matters, including corporate governance, contracts, intellectual property, and employment law. Develop and implement comprehensive compliance programs to ensure adherence to local and international laws and regulations. Monitor and assess the impact of regulatory developments on the company’s operations and advise on necessary adjustments. Lead the preparation and submission of licensing applications in other relevant jurisdictions. Liaise with regulatory authorities (e.g. VATP), including the Securities and Futures Commission (SFC) in Hong Kong, to ensure timely and successful application processes. Manage ongoing regulatory reporting and maintain a strong relationship with regulators. Identify potential legal and regulatory risks and develop strategies to mitigate these risks. Ensure that the company’s operations are conducted in compliance with all applicable legal standards, including AML/KYC requirements. Oversee internal audits and ensure the company’s internal controls are robust and effective. Lead and mentor the legal and compliance team, fostering a culture of compliance and ethical conduct across the organization. Coordinate with other departments, including finance, operations, and IT, to ensure compliance requirements are integrated into business processes. Manage external legal counsel and other third-party advisors as needed. Draft, review, and implement legal and compliance policies and procedures to guide the company’s operations. Ensure that all company policies are up-to-date and compliant with current laws and regulations. Provide training and guidance to employees on legal and compliance matters. Advise on corporate governance best practices and ensure the company’s governance framework is in line with regulatory expectations. Oversee the management of legal entities within the group, including corporate filings and board resolutions. Requirements Juris Doctor (JD) or equivalent legal qualification from a recognized institution. At least 7-8 years of legal and compliance experience, preferably in the financial services or cryptocurrency industry (e.g. VATP). Extensive knowledge of regulatory requirements in Hong Kong, including experience with the Securities and Futures Commission (SFC). Proven experience in managing licensing applications and regulatory relationships in multiple jurisdictions. Strong leadership skills with the ability to manage and develop a high‑performing team. Excellent communication and negotiation skills, with the ability to engage effectively with regulators and internal stakeholders. Strong analytical and problem‑solving abilities, with a keen attention to detail. Fluent in English; proficiency in Cantonese or Mandarin is a plus. #J-18808-Ljbffr

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