APAC Head of Legal and Compliance
We are retained on a confidential mandate for a quantitative trading and investment firm that is hiring its first Head of Legal & Compliance in Hong Kong. This is a senior, hands‑on leadership role responsible for establishing and overseeing the firm's legal, regulatory, and compliance framework as the business continues to scale across APAC and key global markets.
The role will act as the primary legal and regulatory adviser to senior management, partnering closely with trading, investment, and corporate teams in a fast‑moving, performance‑driven environment.
Key responsibilities
- Act as the firm's principal adviser on securities, derivatives, and market conduct regulation, with day‑to‑day responsibility for Hong Kong SFC matters, including Type 9 regulated activities
- Advise on licensing, regulatory strategy, market access, exchange memberships, clearing arrangements, and cross‑border trading structures
- Lead regulatory engagement, filings, inspections, and inquiries across SFC and other relevant regulators (e.g. MAS, SEC/CFTC, FCA)
- Oversee legal support for fund formation, entity set‑up, strategic investments, joint ventures, and other corporate transactions
- Negotiate and manage key documentation, including LPAs, ISDAs/CSAs, prime brokerage, financing, and execution agreements
- Build and lead the legal and compliance function, managing internal resources and coordinating closely with outsourced compliance providers
- Advise senior leadership on governance, fiduciary duties, partnership matters, and risk management
- Handle IP, employment, and contentious matters, working with external counsel as required
Background and experience
- Qualified lawyer with admission in Hong Kong, Singapore, England & Wales, or the US
- Approximately 12+ years' post‑qualification experience, including meaningful in‑house time
- Current or prior experience working in a Hong Kong SFC Type 9 licensed firm is essential
- Strong exposure to asset management, hedge funds, proprietary or quantitative trading firms, market makers, or trading‑focused investment banks
- Solid understanding of trading‑related regulation, derivatives, and fund structures
- Demonstrated experience engaging directly with regulators, particularly the SFC
- Experience operating in a multi‑jurisdictional environment across APAC and offshore jurisdictions
- Fluent English; Mandarin strongly preferred
Why this role
- Opportunity to build a legal and compliance function from scratch
- High‑impact position with direct access to senior decision‑makers
- Commercial, intellectually demanding environment at the intersection of technology, markets, and quantitative research
- Competitive compensation with long‑term upside
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