Compliance Director/ Senior Compliance Manager

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.