Head of Legal and Compliance PE/VC
Head of Legal and Compliance
Location: Hong Kong
Reports to: Managing Partner, Head of Greater China
About the Role
We are seeking a highly experienced and strategic Head of Legal and Compliance to lead and manage all legal and regulatory matters for our growing PE/VC platform. This role is critical in ensuring the firm's operations are fully compliant with applicable laws and regulations, particularly under the Hong Kong SFC Type 1, 4, and 9 licenses. The ideal candidate will bring a strong legal background, deep understanding of the regulatory landscape, and a pragmatic, hands-on approach to compliance.
Key Responsibilities
Legal
- Provide legal advice on fund formation, structuring, investments, exits, and portfolio company matters.
- Draft, review, and negotiate a wide range of legal documents including shareholder agreements, subscription agreements, NDAs, and service contracts.
- Manage external counsel relationships and legal budgets.
- Advise on cross-border transactions and regulatory implications in key jurisdictions.
Compliance
- Serve as the firm's Manager-In-Charge (MIC) of Compliance for SFC Type 1, 4, and 9 regulated activities, ensuring full accountability and oversight of the firm's compliance function.
- Develop, implement, and maintain the firm's compliance framework, policies, and procedures in line with SFC requirements.
- Oversee licensing, reporting, and ongoing compliance obligations with the Securities and Futures Commission (SFC).
- Conduct internal compliance training and monitor adherence to AML, KYC, and other regulatory requirements.
- Liaise with regulators and manage regulatory inspections or inquiries.
Qualifications & Experience
- Law degree from a recognized university; admission to practice law in Hong Kong or a common law jurisdiction preferred.
- Minimum 10 years of legal and compliance experience, ideally with a mix of law firm and in-house (PE/VC or asset management) exposure.
- Proven experience with SFC Type 1, 4, and 9 compliance matters.
- Eligible to be or already approved as a Responsible Officer under SFC licensing regime is a strong advantage.
- Strong knowledge of fund structures, investment documentation, and regulatory frameworks in Hong Kong and other key jurisdictions.
Key Attributes
- Commercially minded with the ability to balance legal risk and business objectives.
- Hands-on, proactive, and able to work independently in a fast-paced environment.
- Excellent communication and stakeholder management skills.
- High integrity and strong ethical standards.
FAQs
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