Head of Legal and Compliance

Provide general and transactional legal advice to business functions/ sections of the Branch, including but not limited to commercial & private banking, financing, investment products, derivatives, debt capital market, administrative, corporate & governance matters etc. Maintain legal oversight of the Branch through attending various governance, control and...

Legal & Compliance Leadership Develop and own the long‑term legal and compliance strategy, ensuring it is fully aligned with and supportive of the company’s business objectives. Serve as a key strategic partner to the CEO and other C‑level executives, providing authoritative counsel on all major business decisions, risks, and opportunities. Provide...

Responsibilities Develop and own the long-term legal and compliance strategy, ensuring it is fully aligned with and supportive of the company's business objectives. Serve as a key strategic partner to the CEO and other C-level executives, providing authoritative counsel on all major business decisions, risks, and opportunities. Provide regular and...

VP, Head of Surveillance and Trading Compliance, Legal and Compliance Join to apply for the VP, Head of Surveillance and Trading Compliance, Legal and Compliance role at BOCI 1 day ago Be among the first 25 applicants Perform advisory and monitoring tasks together with leading the team within the Surveillance and Trading Compliance function, as 2nd line of...

Our client is a multi-cultural investment bank with branches and businesses stretching around the globe. Their major activities in Hong Kong involving SFC RA 1, 2, 4 & 6. The role: Report to CEO and supervise a team to effective the daily operation Oversee all legal and compliance related matters as well as provide professional regulatory advice to all BUs...

A leading financial institution in Hong Kong is seeking a VP (Team Head) for their Anti-Scam, Legal, Compliance & Secretariat team. The ideal candidate will have over 5 years of experience in fraud investigation, strong leadership skills, and the ability to work under pressure in a fast-paced environment. Responsibilities include leading the team, analyzing...

Deputy Head/Senior Manager, Legal & Compliance Independently responsible for legal, internal control, and compliance for the Hong Kong companies, including formulating and updating internal policies & procedures and compliance guidelines, conducting compliance reviews and internal control assessments, and organizing compliance training for promoting lawful...

Senior Compliance Manager, Legal and Compliance Department Bank of Dongguan Co., Ltd. – Hong Kong Branch Location: Sheung Wan, Central and Western District, HK Responsibilities Serve as a member of the Operating Committee, providing strategic advice and actionable solutions on compliance and regulatory matters for new business and operational initiatives....

Responsibilities Assist the Head of Legal & Compliance in providing professional legal services, compliance and data privacy. Prepare contracts including confidentiality agreements, non-disclosure agreements, commission agreements and other legal documents. Provide advice and support to all business units on compliance enquiries, rules and regulations for...

Deputy Head, Legal and Compliance Department Provide compliance advice to management and related business departments on compliance issues related to banking products and businesses, and identify compliance risks. Liaise with local regulators such as the HKMA, SFC and relevant regulators to assist in the implementation of the policy requirements of local...