CLIENT BACKGROUND
Our client is a well‑established investment bank with a strong presence in Hong Kong and across the Asia‑Pacific region. The institution operates across multiple regulated business lines, including capital markets, trading, and investment advisory services. With a long‑standing commitment to robust governance, risk management, and regulatory integrity, the firm provides a stable platform for legal and compliance professionals to develop long‑term careers while gaining exposure to complex and evolving regulatory matters. This is a
newly created role reflecting business growth and increasing regulatory demands.
JOB RESPONSIBILITY
- Provide ongoing legal and regulatory advisory support to front‑office, operations, and control functions within an investment banking environment
- Advise on matters relating to securities, capital markets activities, trading, client onboarding, and internal policies and procedures
- Draft, review, and negotiate a wide range of legal and regulatory documentation, agreements, and internal guidelines
- Support regulatory inquiries, examinations, investigations, and dispute or litigation matters as required
- Coordinate and manage external legal counsel and professional advisors
- Prepare internal briefings and escalate material legal or regulatory issues to senior management
- Assist with regulatory communications and engagement with relevant authorities when necessary
- Participate in ad hoc projects, including new business initiatives, regulatory change implementation, and cross‑functional initiatives
JOB REQUIREMENTS
- Qualified lawyer with a recognized law degree; training or qualification in Hong Kong or a comparable common‑law jurisdiction is preferred
- Approximately 3+ years of post‑qualification experience gained in an investment bank, financial institution, or reputable law firm covering financial services
- Solid understanding of securities laws, capital markets regulations, and the regulatory framework applicable to investment banking activities
- Strong analytical skills with high attention to detail and the ability to manage multiple priorities in a fast‑paced environment
- Comfortable working closely with business stakeholders and senior management
- Strong written and verbal communication skills in English; Chinese language capability is highly advantageous
- Proficient in standard business and documentation tools
- A proactive, commercially minded professional seeking exposure to complex legal and regulatory issues within a global investment banking platform
