Chief Legal & Compliance Officer

Send your CV to now!

Our client is A Virtual Bank Applicant


  • Provide advisory services to the Board on all relevant legal & compliance issues
  • Advise business units/departments to establish appropriate policies, manuals and operation procedures
  • Monitor and escalate significant events to the Board as appropriate
  • Record in Obligation Register and regulation in accordance to the guideline from regulatory compliance and keep track of the status of gap analysis as well as the implementation of corrective measures, if applicable
  • Handle and advise on regular submissions or ad-hoc surveys, regulatory information request or enquires, and liaise with regulators and coordinate appropriate responses to their queries
  • Provide support and assistance to ensure appropriate internal control systems for meeting regulatory obligations and business conduct has been established, aligning with the compliance standards of the organization and local regulatory and legal requirements
  • Ensure prompt escalation of regulatory issues to the management


  • Able to work in fast paced environment independently, forward-thinking, meticulous, sound judgement, excellent analytical, problem solving and interpersonal skills 
  • Sound knowledge of the Banking Ordinance, Personal Data (Privacy) Ordinance, Anti-Money Laundering and Counter-Terrorist Financing (Financial Institutions) Ordinance, Companies Ordinance, and other relevant regulatory requirements
  • A qualified lawyer with Minimum 15 years’ experience in the banking/ financial industry
  • Experience in dealing with regulatory bodies

Interested parties, please send your CV in MS Word format with an indication on present and expected salary to Mr. Lee via email at, thanks!