Strategic Legal and Compliance Leader
5 days ago
Capital Access Limited seeks a seasoned Head of Legal and Compliance to lead its legal and compliance efforts. Reporting to the CEO, this role will oversee a small team responsible for ensuring the legality and compliance of the company's business operations.
The successful candidate will manage relationships with law firms, regulatory bodies, and government departments in both the onshore and offshore Chinese markets. They will also liaise with the China HQ on compliance-related matters and projects.
This is a high-profile role that requires expertise in securities/investment banking laws and regulations, particularly SFC regulations applicable to Type 1, 4, 6, and 9 licensed corporations.
Requirements- Bachelor's degree in Business or related fields.
- A minimum of 10 years' experience in a legal and compliance function with reputable securities houses.
- Familiarity with securities/investment banking industry laws and regulations.
- Experience working in Chinese securities houses is highly regarded.
- Fluency in English and Chinese, with proficiency in Mandarin required.
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