Senior Legal & Compliance Lead, Securities Services

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

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.