Responsibilities:
- 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.
