89 Legal Compliance jobs in Hong Kong

Join to apply for the Legal & Compliance Associate role at Lalamove

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Join to apply for the Legal & Compliance Associate role at Lalamove

Our Legal & Compliance Team is seeking for a corporate lawyer familiar with the HK listing rules compliance, general corporate governance and compliance and corporate transactions, open to lawyers from in-house or private practice. This role represents an excellent opportunity to transition into a reputable company with strong financial backing, and with international/regional projects, and to gain experience in handling legal matters, managing legal risks, and ensuring compliance with applicable laws and regulations across various markets where the group operates.

What You'll Do

• Developing and implementing legal policies and guidelines to protect the group’s interests and ensure compliance with all applicable laws and regulations;
• Drafting documents (e.g. announcements, circulars, board papers and etc.) and providing advice and analysis in relation to the day-to-day operation of the group including but not limited to listing rules compliance, corporate governance and other regulatory/privacy-related matters;
• Conducting legal research and analysis on legal/compliance developments (e.g. listing rules, data protection and etc.) that may impact the group’s operations and recommending appropriate courses of action;
• Providing legal training to business stakeholders on key legal issues and best practices;
• Providing timely and practical legal advice and analysis to the group to assist in commercial projects and legal affairs of the group, including reviewing and drafting contracts, agreements, and other legal documents;
• Assisting other senior lawyers with different tasks assigned from time to time and effective administration of the Legal & Compliance Team.
  
  

• 2-4 years’ post-qualification experience gained from reputable law firms or MNCs.
• Qualified in Hong Kong or other common law jurisdictions or the U.S.
• Experience in Hong Kong listing rules compliance, corporate governance and compliance and commercial transactions.
• Experience in dealing with data protection issues and regulatory practice relating to international businesses
• Exceptional attention to detail and excellent presentation and interpersonal skills with ability to work independently or in a team.
• Strong sense of responsibility and responsiveness.
• Energetic with excellent communication skills in both English and Chinese (Cantonese and Mandarin).
• Able to demonstrate strong commercial awareness.
• Prior in-house experience is an advantage.
  
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales
• Industries Transportation, Logistics, Supply Chain and Storage and Information Services

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Wan Chai District, Hong Kong SAR 6 days ago

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● Develop, draft and review a broad range of business contracts, agreements, announcement, notice, correspondence, account opening documents, marketing materials, board resolutions, shareholders resolutions and other documentations

● Provide legal and compliance advisory service and support to business and operation units within the financial institution and the group as well as providing legal advice to management in order to safeguard the Group's interests and mitigate compliance and legal risks

● Provide a full range of corporate secretarial support to the group including various legal forms of entities

● Prepare, maintain and update corporate records and filings including corporate registers, constitutional documents and statutory filings according to local regulatory requirements

● Provide practical recommendations for internal stakeholders on departmental operational manuals and compliance review findings to address identified issue

● Liaise with government bodies and handle regulators’ enquiry, notification requirement, reporting, inspection and investigation

● Collaborate with professional third-parties and service providers in various jurisdictions to establish and manage special purpose vehicles

● Perform ad-hoc assignments as required

Key requirements:

●Bachelor Degree in Corporate Governance, Law, Accounting or other relevant disciplines, qualified lawyer or chartered secretary is preferred

●Member of HKICS/ICSA is preferred

● Minimum 5 years’ relevant experience in sizable financial institutions, professional firms or regulatory bodies

● Familiar with securities laws and regulations, SFC rules, GMRA, FATCA and CRS, Companies Ordinance, and corporate governance practice in various jurisdictions

● Knowledge of using corporate secretarial system is an advantage

●Self-motivated, well-organized, detail-oriented and experienced in planning workflows

● Good command in both spoken and written English and Chinese (including Mandarin)

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Legal

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Get notified about new Legal Compliance Manager jobs in Central & Western District, Hong Kong SAR .

Shenzhen, Guangdong, China CN¥12,000.00-CN¥0,000.00 1 year ago

Shenzhen, Guangdong, China CN 8,000.00-CN 8,000.00 1 year ago

Shenzhen, Guangdong, China CN 2,000.00-CN 8,000.00 1 year ago

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Join to apply for the Legal & Compliance Associate role at Lalamove

Continue with Google Continue with Google

Join to apply for the Legal & Compliance Associate role at Lalamove

Our Legal & Compliance Team is seeking for a corporate lawyer familiar with the HK listing rules compliance, general corporate governance and compliance and corporate transactions, open to lawyers from in-house or private practice. This role represents an excellent opportunity to transition into a reputable company with strong financial backing, and with international/regional projects, and to gain experience in handling legal matters, managing legal risks, and ensuring compliance with applicable laws and regulations across various markets where the group operates.
What You'll Do

• Developing and implementing legal policies and guidelines to protect the group’s interests and ensure compliance with all applicable laws and regulations;
• Drafting documents (e.g. announcements, circulars, board papers and etc.) and providing advice and analysis in relation to the day-to-day operation of the group including but not limited to listing rules compliance, corporate governance and other regulatory/privacy-related matters;
• Conducting legal research and analysis on legal/compliance developments (e.g. listing rules, data protection and etc.) that may impact the group’s operations and recommending appropriate courses of action;
• Providing legal training to business stakeholders on key legal issues and best practices;
• Providing timely and practical legal advice and analysis to the group to assist in commercial projects and legal affairs of the group, including reviewing and drafting contracts, agreements, and other legal documents;
• Assisting other senior lawyers with different tasks assigned from time to time and effective administration of the Legal & Compliance Team.
  

• 2-4 years’ post-qualification experience gained from reputable law firms or MNCs.
• Qualified in Hong Kong or other common law jurisdictions or the U.S.
• Experience in Hong Kong listing rules compliance, corporate governance and compliance and commercial transactions.
• Experience in dealing with data protection issues and regulatory practice relating to international businesses
• Exceptional attention to detail and excellent presentation and interpersonal skills with ability to work independently or in a team.
• Strong sense of responsibility and responsiveness.
• Energetic with excellent communication skills in both English and Chinese (Cantonese and Mandarin).
• Able to demonstrate strong commercial awareness.
• Prior in-house experience is an advantage.
  

• Seniority level Mid-Senior level

• Employment type Full-time

• Job function Finance and Sales
• Industries Transportation, Logistics, Supply Chain and Storage and Information Services

Referrals increase your chances of interviewing at Lalamove by 2x

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Wan Chai District, Hong Kong SAR 6 days ago

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Join to apply for the Sr. Legal & Compliance Manager role at Novo Nordisk

4 days ago Be among the first 25 applicants

Join to apply for the Sr. Legal & Compliance Manager role at Novo Nordisk

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• Ensure compliance with legal and regulatory requirements
• Monitor and interpret relevant laws, regulations, and standards to ensure the organisation operates within legal boundaries;
• Collaborate with departments to implement and audit compliance programs in line with global and local standards;
• Design, test and monitor compliance control points within company SOPs; Streamline the global and local compliance frameworks to align with regulatory and ethical requirements in enhancing control effectiveness.
• Provide legal counsel and support to HK business operations
• Advise on corporate law, contracts, intellectual property, other business and commercial related legal matters (e.g. partnerships, joint ventures);
• Support business transactions, negotiations, and dispute resolution processes;
• Approve branded and unbranded materials.
• Manage risk assessment and mitigation strategies
• Conduct proactive compliance risk assessments and identify potential legal and compliance risks and develop strategies to address them;
• Regularly review and update risk management plans to align with evolving regulations;
• Lead cross-functional projects to optimize control setups for compliance risk mitigation and business effectiveness;
• Ensure that local law and global TEN requirements are reflected in local compliance templates and materials.
• Oversee internal audits and reporting processes
• Conduct and utilize various auditing approach to evaluate adherence to legal and compliance standards as well as policy execution;
• Prepare and present reports on audit findings to enhance internal control and recommend corrective actions;
• Maintain regular communication and strong relationships with internal stakeholders, including the Compliance office of Region China, GIA, and Risk office
• Oversee the GIA BE compliance audit and implement action plans for audit findings.
• Local data protection responsibilities
• Maintain and update personal data overviews in compliance with local laws and global standards;
• Cascade communications from the Data Protection Office (DPO) and facilitate knowledge sharing;
• Assess risks associated with personal data processing and advise on related issues;
• Support the DPO in responding to data breaches and coordinate local responses per global plans; Assist the DPO in interactions with local Data Protection Authorities;
• Create awareness around AI Ethics & Data Privacy requirements;
• Advise affiliate on issues related to AI and Data Privacy;
• Support with personal data breach mitigation and with data subject requests (DSR).
• Foster ethical business practices across the organisation
• Promote a culture of integrity and accountability through communication and leadership; Address ethical concerns and ensure alignment with the organisation’s values and policies;
• Provide timely training on policy changes, competition law, risks, and procedural updates.
  
  
  
  

• Ensure compliance with legal and regulatory requirements
• Monitor and interpret relevant laws, regulations, and standards to ensure the organisation operates within legal boundaries;
• Collaborate with departments to implement and audit compliance programs in line with global and local standards;
• Design, test and monitor compliance control points within company SOPs; Streamline the global and local compliance frameworks to align with regulatory and ethical requirements in enhancing control effectiveness.
• Provide legal counsel and support to HK business operations
• Advise on corporate law, contracts, intellectual property, other business and commercial related legal matters (e.g. partnerships, joint ventures);
• Support business transactions, negotiations, and dispute resolution processes;
• Approve branded and unbranded materials.
• Manage risk assessment and mitigation strategies
• Conduct proactive compliance risk assessments and identify potential legal and compliance risks and develop strategies to address them;
• Regularly review and update risk management plans to align with evolving regulations;
• Lead cross-functional projects to optimize control setups for compliance risk mitigation and business effectiveness;
• Ensure that local law and global TEN requirements are reflected in local compliance templates and materials.
• Oversee internal audits and reporting processes
• Conduct and utilize various auditing approach to evaluate adherence to legal and compliance standards as well as policy execution;
• Prepare and present reports on audit findings to enhance internal control and recommend corrective actions;
• Maintain regular communication and strong relationships with internal stakeholders, including the Compliance office of Region China, GIA, and Risk office
• Oversee the GIA BE compliance audit and implement action plans for audit findings.
• Local data protection responsibilities
• Maintain and update personal data overviews in compliance with local laws and global standards;
• Cascade communications from the Data Protection Office (DPO) and facilitate knowledge sharing;
• Assess risks associated with personal data processing and advise on related issues;
• Support the DPO in responding to data breaches and coordinate local responses per global plans; Assist the DPO in interactions with local Data Protection Authorities;
• Create awareness around AI Ethics & Data Privacy requirements;
• Advise affiliate on issues related to AI and Data Privacy;
• Support with personal data breach mitigation and with data subject requests (DSR).
• Foster ethical business practices across the organisation
• Promote a culture of integrity and accountability through communication and leadership; Address ethical concerns and ensure alignment with the organisation’s values and policies;
• Provide timely training on policy changes, competition law, risks, and procedural updates.
  
  
  
  

• Bachelor’s degree in Law or related discipline, with relevant professional certification is preferred.
• Qualified lawyer in Hong Kong with practicing certificate; having PRC legal background and/or holding a PRC legal qualification is preferable.
• Minimum 3-5 years of post-qualification legal/compliance work experience, preferably gained from life sciences, healthcare, consumer healthcare, nutrition sectors.
• Experience in working in multinational pharmaceutical company is highly preferred.
• Fluency in both written & spoken English and Chinese (both Cantonese and Mandarin).
• Strong legal acumen with sound knowledge in legal principles, corporate law, and regulatory frameworks.
• Proven leadership capabilities, with effective stakeholders’ management skills and be able to communicate with internal and external parties at all levels effectively.
• Demonstrated high adaptability in changing priorities and meeting tight deadlines.
• Ability to work in a fast-paced and dynamic environment independently.
• Agile, flexible, energetic, reliable, trust-worthy, team player.
  
  
  
  

• Seniority level Not Applicable

• Employment type Full-time

• Job function Legal
• Industries Pharmaceutical Manufacturing

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Shenzhen, Guangdong, China CN¥18,000.00-CN¥28,000.00 1 year ago

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Direct message the job poster from Industrial Bank Co., Ltd. Hong Kong Branch

Assist in the legal and compliance management of the bank's operations in order for the bank to comply with relevant laws, regulations, and regulatory requirements.

Contract Review and Management

• Handle relevant legal works, including drafting and reviewing of various legal documents, for the bank's business/non-business units
• Manage legal issues and provide relevant advice during the contract execution process

Product and Policy Support

• Support business units by providing legal and compliance advice
• Review product due diligence paper, sales materials from business and functional units and provide legal and compliance advice
• Participate in the development and updating of internal policies and procedures to ensure legal compliance
• Identify and assess potential legal risks and propose corresponding mitigation measures

Litigation and Dispute Resolution

• Assist in the bank's litigation case management
• Assist in handling legal and compliance matters related to the bank's special asset management
• Coordinate with external lawyers to ensure professional and efficient case handling

Cross-functional Collaboration

• Cooperate with business departments and other functional departments of the bank
• Liaise with internal and external parties for legal and compliance related matters
• Perform other duties as assigned by supervisor(s) and ad-hoc assignments or projects as required

Requirements :

• Degree holder in law (LLB/JD) or equivalent.
• Hong Kong or PRC law qualification
• Minimum 3-6 years relevant experience in in banking industry
• Knowledge of regulatory requirements such as Banking Ordinance, SFO, SFC's Code of Conduct, SFC and HKMA circulars, etc.
• Awareness of commercial banking products as well as investment products
• Proficiency in both English and Chinese
• Responsible, detail oriented, well-organized and with good communication skills

• Seniority level Associate

• Employment type Full-time

• Job function Legal
• Industries Financial Services and Banking

Referrals increase your chances of interviewing at Industrial Bank Co., Ltd. Hong Kong Branch by 2x

Wan Chai District, Hong Kong SAR 1 week ago

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Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Job level: Entry level

Start date: Immediate Start/July/September 2025

About This Role

The Research Compliance team is a dynamic and innovative function which enables the expansion of our fastest-growing business segments globally. As the Research Compliance Associate you will report into the Research Compliance Manager based in Hong Kong and work alongside the Research teams to enable a safe end-to-end delivery of our Research products. You will also collaborate with the Legal and Client Protection teams, as well as a number of other stakeholders across the business. Your responsibilities include:

• Review expert profiles and project requirements for the delivery of expert knowledge to our clients by the Research team
• Format, proofread, and screen written output (transcripts) specifically to ensure that all information complies with AlphaSights’ legal and compliance policies and applicable regulatory requirements
• Work with the Research team and other stakeholders across the business to resolve any compliance flags
• Provide legal and compliance training to the Research team and other stakeholders
• Draft and maintain compliance policies for our Research services
  
  

• Fantastic proofreading experience and acute attention to detail
• Ability to effectively prioritize tasks, manage time, remain highly organized and swiftly execute within a fast-paced environment
• Persistence, drive, and a goal-focused mindset as you own projects from initiation to completion
  
  

• Bachelor's degree, with strong academic credentials in any field and noteworthy extracurricular leadership
• 0-1 year of work experience as a Compliance Associate, Legal Assistant, Paralegal, or similar roles. Recent graduates with high potential are also welcomed
• Track record of strong academic performance
• Extracurricular achievement throughout school and university
• Fluency in written and spoken English is essential. Fluency in a relevant foreign language is a plus
  
  

• Years 0–2: Our Research Compliance Associates are responsible for reviewing research to ensure it aligns with our legal and compliance framework and upholds company standards. They are dedicated to maintaining core compliance principles and ensuring all research meets AlphaSights’ and clients' expectations.
• Years 2+: As a Senior Research Compliance Associate, you’ll take ownership of key compliance initiatives while leading and mentoring team members to drive excellence.
• Years 3+: Research Compliance Managers oversee the compliance programme of the region, build and manage high performing teams independently, and drive innovations in our processes, policies and products.
  
  

• Competitive fixed annual base salary, plus opportunity to earn performance based bonus
• 15 days annual leave, six months full maternity leave, and six weeks full paternity leave
• Private medical & dental insurance, and annual health check-up
• Tax-advantaged housing allowance up to 50% of monthly base salary
• In office Monday to Thursday (option to WFH each Friday and four extra days/quarter)
• State-of-the-art office with amenities in the heart of Hong Kong
  
  

• Seniority level Entry level

• Employment type Full-time

• Job function Legal, General Business, and Other
• Industries Information Services

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The Delta Asia Financial Group is a full-fledged banking and financial services group encompassing the territories of Hong Kong, Macau and Pearl-River-Delta regions.

Established in Macau in 1935, the Group boasts a rich history spanning 90 years. Initially focused on banking services, the Group has evolved into a financial conglomerate, now offering a wide array of integrated services, including banking, securities investment, insurance consultancy, and wealth management.

With strong financial strength, “people-oriented" spirit and rich investment experience, the Group is dedicated to provide customers with professional and caring financial services.

At Delta Asia Financial Group, we foster a supportive and empowering environment that enables our employees to shape rewarding career journeys. We are committed to your professional growth and development, and to creating a workplace culture that values collaboration, innovation, and excellence.

Responsibilities

• Provide compliance advisory service and support to business and operation units within the financial institution and the group as well as providing legal advice to management in order to safeguard the Group's interests and mitigate compliance and legal risks
• Formulate and implement compliance strategies and work plan in order to identify, analyse and mitigate compliance risk with respect to the internal and external requirements including but not limited to internal policies and procedures, regulatory codes, guidelines and related laws & regulations
• Perform Company Secretary functions
• Develop, review compliance related policies and procedures
• Provide advice and guidance on compliance issues for the launch of new products / services
• Provide practical recommendations for internal stakeholders on departmental operational manuals and compliance review findings to address identified issue
• Ensure Suspicious Transaction Reports are submitted to the Hong Kong Joint Financial Intelligence Unit (JFIU) and the Macau financial intelligence unit (GIF) by the group entities in a timely basis
• Take the role as the AML/CFT Officer for the Bank in Macau and the MIC of AML/CFT and Compliance Function Head of Registered Institutions in Hong Kong for regulators
• Liaise with regulators and government authorities on matters relating to the group companies businesses and regulatory matters
• Foster a strong compliance culture within the Group and ensure that business operations uphold high compliance standards
• Keep abreast of regulatory requirements and changes/developments in Group’s business operation and ensuring the scope of review aligns with regulatory priorities as well as the Group’s operational needs
  
  

• Bachelor's degree holder or above in Law, Business or related discipline
• Preferably holding certifications such as AAMLP or CAMS
• Seasoned professional with 10+ experience in legal & compliance roles in the banking, securities and insurance industries
• Macau working experience preferred
• Extensive knowledge in banking and wealth management products, related regulations and guidelines, especially for AML/CFT and the market practice
• Proven experience in managing regulatory matters and dealing with regulators, including AMCM, IA, SFC, and others
• Strong analytical, interpersonal and communication skills with flexibility and adaptability to changes
• Possesses a growth mindset with excellent problem-solving skills
• Excellent command of both written and spoken English and Chinese, including Mandarin
• Frequent travel to Macau
  
  

• 22-25 days of Annual Leave
• Caring Leave (including birthday leave, graduation leave, wedding leave, volunteer leave etc.)
• Attractive remuneration package
  
  

• Seniority level Executive

• Employment type Other

• Job function Finance and Consulting

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Hong Kong, Hong Kong SAR HK$110,000 - HK$150,000 2 weeks ago

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Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Join to apply for the Legal & Compliance, Research Compliance Associate role at AlphaSights

Job level: Entry level
Start date: Immediate Start/July/September 2025
About This Role
The Research Compliance team is a dynamic and innovative function which enables the expansion of our fastest-growing business segments globally. As the Research Compliance Associate you will report into the Research Compliance Manager based in Hong Kong and work alongside the Research teams to enable a safe end-to-end delivery of our Research products. You will also collaborate with the Legal and Client Protection teams, as well as a number of other stakeholders across the business. Your responsibilities include:

• Review expert profiles and project requirements for the delivery of expert knowledge to our clients by the Research team
• Format, proofread, and screen written output (transcripts) specifically to ensure that all information complies with AlphaSights’ legal and compliance policies and applicable regulatory requirements
• Work with the Research team and other stakeholders across the business to resolve any compliance flags
• Provide legal and compliance training to the Research team and other stakeholders
• Draft and maintain compliance policies for our Research services
  

• Fantastic proofreading experience and acute attention to detail
• Ability to effectively prioritize tasks, manage time, remain highly organized and swiftly execute within a fast-paced environment
• Persistence, drive, and a goal-focused mindset as you own projects from initiation to completion
  

• Bachelor's degree, with strong academic credentials in any field and noteworthy extracurricular leadership
• 0-1 year of work experience as a Compliance Associate, Legal Assistant, Paralegal, or similar roles. Recent graduates with high potential are also welcomed
• Track record of strong academic performance
• Extracurricular achievement throughout school and university
• Fluency in written and spoken English is essential. Fluency in a relevant foreign language is a plus
  

• Years 0–2: Our Research Compliance Associates are responsible for reviewing research to ensure it aligns with our legal and compliance framework and upholds company standards. They are dedicated to maintaining core compliance principles and ensuring all research meets AlphaSights’ and clients' expectations.
• Years 2+: As a Senior Research Compliance Associate, you’ll take ownership of key compliance initiatives while leading and mentoring team members to drive excellence.
• Years 3+: Research Compliance Managers oversee the compliance programme of the region, build and manage high performing teams independently, and drive innovations in our processes, policies and products.
  

• Competitive fixed annual base salary, plus opportunity to earn performance based bonus
• 15 days annual leave, six months full maternity leave, and six weeks full paternity leave
• Private medical & dental insurance, and annual health check-up
• Tax-advantaged housing allowance up to 50% of monthly base salary
• In office Monday to Thursday (option to WFH each Friday and four extra days/quarter)
• State-of-the-art office with amenities in the heart of Hong Kong
  

• Seniority level Entry level

• Employment type Full-time

• Job function Legal, General Business, and Other
• Industries Information Services

Referrals increase your chances of interviewing at AlphaSights by 2x

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

Direct message the job poster from Industrial Bank Co., Ltd. Hong Kong Branch

Assist in the legal and compliance management of the bank's operations in order for the bank to comply with relevant laws, regulations, and regulatory requirements.

Contract Review and Management

• Handle relevant legal works, including drafting and reviewing of various legal documents, for the bank's business/non-business units
• Manage legal issues and provide relevant advice during the contract execution process

Product and Policy Support

• Support business units by providing legal and compliance advice
• Review product due diligence paper, sales materials from business and functional units and provide legal and compliance advice
• Participate in the development and updating of internal policies and procedures to ensure legal compliance
• Identify and assess potential legal risks and propose corresponding mitigation measures

Litigation and Dispute Resolution

• Assist in the bank's litigation case management
• Assist in handling legal and compliance matters related to the bank's special asset management
• Coordinate with external lawyers to ensure professional and efficient case handling

Cross-functional Collaboration

• Cooperate with business departments and other functional departments of the bank
• Liaise with internal and external parties for legal and compliance related matters
• Perform other duties as assigned by supervisor(s) and ad-hoc assignments or projects as required

Requirements :

• Degree holder in law (LLB/JD) or equivalent.
• Hong Kong or PRC law qualification
• Minimum 3-6 years relevant experience in in banking industry
• Knowledge of regulatory requirements such as Banking Ordinance, SFO, SFC's Code of Conduct, SFC and HKMA circulars, etc.
• Awareness of commercial banking products as well as investment products
• Proficiency in both English and Chinese
• Responsible, detail oriented, well-organized and with good communication skills

• Seniority level Associate

• Employment type Full-time

• Job function Legal
• Industries Financial Services and Banking

Referrals increase your chances of interviewing at Industrial Bank Co., Ltd. Hong Kong Branch by 2x

Wan Chai District, Hong Kong SAR 1 week ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.