Assistant General Manager & Legal Counsel

China CITIC Bank International Limited; Hong Kong; On-site; HKD 1,200,000 - 1,800,000; Full time

Job summary

China CITIC Bank International Limited in Hong Kong seeks a Lead Legal & Compliance Adviser for Securities Services to act as the primary legal and regulatory advisor, manage compliance under RA 13, and serve as contact with the SFC.

You will draft and review agreements, oversee external counsel, coordinate regulatory filings, and work with cross-functional teams to address risk and ensure timely, pragmatic solutions.

Qualifications

• Law degree or equivalent required.
• Minimum 5 years post-qualification experience, preferably in the region.
• Qualified lawyer in a common-law jurisdiction.
• Holder of CCOP Certificate under HKMA ECF on Compliance.
• Strong written and spoken English and Chinese (Putonghua).

Responsibilities

• Act as the lead legal and compliance adviser for the Securities Services business.
• Appointed as Manager-In-Charge for Compliance under RA 13 and be the point of contact with the SFC regarding businesses under RA 13.
• Prepare and comment on template legal agreements to be used by the business for various structures of counterparties.
• Review and comment on any legal documents in connection with the business from both a legal and compliance perspective.
• Advise and assist in the negotiation of legal agreements with counterparties.
• Manage and monitor external counsel’s work.
• Work closely with the Securities Services team to advise on any ad hoc legal and compliance issues.
• Effectively facilitate the pre-deal and transactional legal documentation by drafting, reviewing and negotiating relevant documentation.
• Prepare and submit regulatory filings to the local regulators.
• Coordinate and monitor regulatory inspections, investigations, thematic reviews, inquiries, self-assessments and surveys.
• Keep abreast of regulatory developments and interpret and provide advice on policies and regulatory requirements.

Skills

English communication

Chinese (Putonghua)

Regulatory compliance

Legal advisory

Securities services knowledge

Education

Law degree

Qualified lawyer (common-law jurisdiction)

CCOP Certification (HKMA ECF on Compliance)

Job description

Mandatory Reference Checking Scheme – Lead Legal & Compliance Adviser, Securities Services

Location: Hong Kong, China

Responsibilities

• Act as the lead legal and compliance adviser for the Securities Services business
• Appointed as Manager‑In‑Charge for Compliance under SFC RA 13 and be the point of contact with the SFC regarding businesses under RA 13
• Prepare and comment on template legal agreements to be used by the business for various structures of counterparties
• Review and comment on any legal documents in connection with the business from both a legal and compliance perspective
• Advise and assist in the negotiation of legal agreements with counterparties
• Manage and monitor external counsel’s work
• Work closely with the Securities Services team to advise on any ad hoc legal and compliance issues
• Effectively facilitate the pre‑deal and transactional legal documentation by drafting, reviewing and negotiating relevant documentation, including Non‑Disclosure Agreements, Fund Administration Agreements, Custodian Agreements, Fund Trustee Agreements and any other related legal agreements
• Work closely with the Securities Services team to identify potential areas of legal and compliance risks to enable such issues to be addressed in a timely manner to meet the business requirement by offering pragmatic solutions
• Prepare and submit regulatory filings to the local regulators
• Support the Securities Services business in performing timely legal and compliance reviews on new products, changes and termination of products
• Coordinate and monitor regulatory inspections, investigations, thematic reviews, inquiries, self‑assessments and surveys in relation to Securities Services matters to ensure timely submissions
• Arrange and conduct compliance assurance review and monitoring for Securities Services business
• Keep abreast of regulatory developments (especially on RA 13), interpret and provide advice on policies, regulatory requirements and impact, and control related processes relating to Securities Services matters
• Collaborate with other control functions, e.g. Business Management, Operations, Technology, Risk, Finance, etc. to address compliance issues that may impact the Securities Services business
• Promote the Bank’s Securities Services business brand by actively participating and contributing to product and industry working group calls and meetings, if any
• Spearhead and enhance the development of legal forms, policies and procedures in relation to Securities Services transactions and business

Qualifications

• Degree holder in Law or related disciplines
• 10–12 years of solid experience in a leading law firm or relevant in‑house legal advisory
• Minimum 5 years post‑qualification experience, preferably with experience in the region and qualification from NewYork, England & Wales, HongKong or Singapore
• Qualified lawyer in a common‑law jurisdiction
• Solid financial services and/or funds experience in a top‑tier law firm and/or financial institution
• Holder of Certified Compliance Professional (CCOP) Certificate under the HKMA ECF on Compliance
• Good command of written and spoken English and Chinese (including Putonghua)

Company Overview

China CITIC Bank International Limited (CNCBI), a major offshore platform of commercial banking business of the CITIC Group, is 75%-owned by CITIC International Financial Holdings Limited ("CIFH"), which in turn is a wholly‑owned subsidiary of China CITIC Bank Corporation Limited ("CNCB"). China CITIC Bank International’s footprint in Greater China includes 22 branches and two business banking centres in Hong Kong, as well as presence in Beijing, Shanghai, Shenzhen and Macau, and overseas branches in New York, LosAngeles and Singapore. Across a century, China CITIC Bank International has grown together with its employees, customers and partners since 1922 and will continue to move towards its vision of "Agile. Professional. Simple." in adherence to the 4C (Culture, Customer, Collaboration, Cyberspace) core values while driving actively its missions to "create value for customers, seek happiness for employees, make profit for shareholders, perform responsibility for society".

中信銀行(國際)有限公司（"信銀國際"）是中信集團境外商業銀行業務主要平台，由中信銀行股份有限公司（"中信銀行"）全資子公司中信國際金融控股有限公司（"中信國金"）持有75% 股份。 中信銀行(國際)網絡遍布大中華，包括香港的22家分行及2家商務理財中心，以及北京、上海、深圳及澳門的網點，另外於紐約、洛杉磯及新加坡設有海外分行。 自1922年起，中信銀行(國際)與員工、客戶及夥伴一同成長，跨越一個世紀。未來將繼續以「敏捷 專業 化繁為簡」為願景，堅持「文化為本（Culture）、客戶為尊（Customer）、多方聯動（Collaboration）、科技引領（Cyberspace）」4C核心價值，積極踐行「為客戶謀價值，為員工謀幸福，為股東謀效益，為社會盡責任」的企業使命。 有關中信銀行(國際)的進一步資料，請瀏覽www.cncbinternational.com。