Regulatory Counsel
Key Responsibilities
- Advise on Hong Kong financial services regulation, including the Securities and Futures Ordinance and applicable SFC rules, codes, and guidelines.
- Support SFC licensing matters, including new licence applications, variations, and ongoing regulatory obligations.
- Provide regulatory advice in connection with new business initiatives, product launches, and business expansion.
- Assist with cross‑border regulatory matters, including coordination across multiple jurisdictions where required.
- Act as a legal partner to internal stakeholders, including trading, operations, compliance, and management teams.
- Manage routine engagement with regulators, including filings, notifications, and responses.
- Work alongside senior legal colleagues on broader regulatory issues, with a primary focus on advisory and executional regulatory work.
Requirements
- Qualified lawyer with approximately 6-12 years' post‑qualification experience (flexible depending on experience).
- Strong experience advising on financial services regulatory matters, gained either:
- In‑house at a financial institution, trading firm, hedge fund, or market‑facing business; or
- In private practice within a financial regulatory or markets team.
- Hands‑on experience with licensing and regulatory change projects.
- Solid understanding of non‑contentious regulatory frameworks applicable to securities and derivatives businesses.
- Exposure to cross‑border regulatory matters is highly preferred.
- Litigation or enforcement experience is not required.
FAQs
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