{"id":499,"date":"2025-05-26T08:14:00","date_gmt":"2025-05-26T00:14:00","guid":{"rendered":"https:\/\/community.ex.io\/?p=499"},"modified":"2025-07-30T10:33:24","modified_gmt":"2025-07-30T02:33:24","slug":"head-of-legal-and-compliance-role","status":"publish","type":"post","link":"https:\/\/community.ex.io\/zh\/2025\/05\/26\/head-of-legal-and-compliance-role\/","title":{"rendered":"Compliance Director\/ Senior Compliance Manager"},"content":{"rendered":"<p><strong>Responsibilities:<\/strong><\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Provide expert legal advice to the executive team on all legal and regulatory matters, including corporate governance, contracts, intellectual property, and employment law.\u00a0<\/li>\n\n\n\n<li>Develop and implement comprehensive compliance programs to ensure adherence to local and international laws and regulations.\u00a0<\/li>\n\n\n\n<li>Monitor and assess the impact of regulatory developments on the company&#8217;s operations and advise on necessary adjustments.\u00a0<\/li>\n\n\n\n<li>Lead the preparation and submission of licensing applications in other relevant jurisdictions.\u00a0<\/li>\n\n\n\n<li>Liaise with regulatory authorities(e.g. VATP), including the Securities and Futures Commission (SFC) in Hong Kong, to ensure timely and successful application processes.\u00a0<\/li>\n\n\n\n<li>Manage ongoing regulatory reporting and maintain a strong relationship with regulators.\u00a0<\/li>\n\n\n\n<li>Identify potential legal and regulatory risks and develop strategies to mitigate these risks.\u00a0<\/li>\n\n\n\n<li>Ensure that the company\u2019s operations are conducted in compliance with all applicable legal standards, including AML\/KYC requirements.\u00a0<\/li>\n\n\n\n<li>Oversee internal audits and ensure the company&#8217;s internal controls are robust and effective.\u00a0<\/li>\n\n\n\n<li>Lead and mentor the legal and compliance team, fostering a culture of compliance and ethical conduct across the organization.\u00a0<\/li>\n\n\n\n<li>Coordinate with other departments, including finance, operations, and IT, to ensure compliance requirements are integrated into business processes.\u00a0<\/li>\n\n\n\n<li>Manage external legal counsel and other third-party advisors as needed.\u00a0<\/li>\n\n\n\n<li>Draft, review, and implement legal and compliance policies and procedures to guide the company\u2019s operations.\u00a0<\/li>\n\n\n\n<li>Ensure that all company policies are up-to-date and compliant with current laws and regulations.\u00a0<\/li>\n\n\n\n<li>Provide training and guidance to employees on legal and compliance matters.\u00a0<\/li>\n\n\n\n<li>Advise on corporate governance best practices and ensure the company\u2019s governance framework is in line with regulatory expectations.\u00a0<\/li>\n\n\n\n<li>Oversee the management of legal entities within the group, including corporate filings and board resolutions.\u00a0<\/li>\n<\/ul>\n\n\n\n<p><strong>Requirements:<\/strong><\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Juris Doctor (JD) or equivalent legal qualification from a recognized institution.\u00a0<\/li>\n\n\n\n<li>At least 7-8 years of legal and compliance experience, preferably in the financial services or cryptocurrency industry(e.g.VATP).\u00a0<\/li>\n\n\n\n<li>Extensive knowledge of regulatory requirements in Hong Kong, including experience with the Securities and Futures Commission (SFC).\u00a0<\/li>\n\n\n\n<li>Proven experience in managing licensing applications and regulatory relationships in multiple jurisdictions.\u00a0<\/li>\n\n\n\n<li>Strong leadership skills with the ability to manage and develop a high-performing team.\u00a0<\/li>\n\n\n\n<li>Excellent communication and negotiation skills, with the ability to engage effectively with regulators and internal stakeholders.\u00a0<\/li>\n\n\n\n<li>Strong analytical and problem-solving abilities, with a keen attention to detail.\u00a0<\/li>\n\n\n\n<li>Fluent in English; proficiency in Cantonese or Mandarin is a plus.\u00a0<\/li>\n<\/ul>","protected":false},"excerpt":{"rendered":"<p>Responsibilities: Requirements:<\/p>","protected":false},"author":4,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"wp-custom-template-career-post","format":"standard","meta":{"footnotes":""},"categories":[17],"tags":[18],"class_list":["post-499","post","type-post","status-publish","format-standard","hentry","category-career-post","tag-hong-kong"],"aioseo_notices":[],"_links":{"self":[{"href":"https:\/\/community.ex.io\/zh\/wp-json\/wp\/v2\/posts\/499","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/community.ex.io\/zh\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/community.ex.io\/zh\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/community.ex.io\/zh\/wp-json\/wp\/v2\/users\/4"}],"replies":[{"embeddable":true,"href":"https:\/\/community.ex.io\/zh\/wp-json\/wp\/v2\/comments?post=499"}],"version-history":[{"count":4,"href":"https:\/\/community.ex.io\/zh\/wp-json\/wp\/v2\/posts\/499\/revisions"}],"predecessor-version":[{"id":963,"href":"https:\/\/community.ex.io\/zh\/wp-json\/wp\/v2\/posts\/499\/revisions\/963"}],"wp:attachment":[{"href":"https:\/\/community.ex.io\/zh\/wp-json\/wp\/v2\/media?parent=499"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/community.ex.io\/zh\/wp-json\/wp\/v2\/categories?post=499"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/community.ex.io\/zh\/wp-json\/wp\/v2\/tags?post=499"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}