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Legal Counsel - Securities Firm

  • Location

    Hong Kong

  • Sector:

    Financial Services and Banking

  • Job type:


  • Contact:

    Zoe Han

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    17 days ago

  • Expiry date:


Our client is a reputable securities firm that provide brokerage and assets management services. They are now looking for a Legal Counsel, around 2-3 years experience with knowledge in assets management. This position reports to the Senior Legal Counsel and the Head of Legal.


  • Support the legal activities of the group’s Asset Management business, and Brokerage business as a plus
  • Review all legal contracts/documents (IMA, PPM, DMA, Commission Sharing Agreement, term sheets, documentation templates) of the business units of asset management and brokerage business as the case may be.
  • Assist in managing the implementation and enforcement of internal company policies and external laws and regulations (i.e. SFC/ HKEX requirements);
  • Manage legal risks arising from the activities and operations undertaken by the Company.
  • Review and advice on existing and new laws and regulations.
  • Advise business teams on various legal, structural, reputational and other transaction-related issue
  • Ensure valid and legally binding legal documents correctly reflecting the rights and obligations intended, and within risk acceptable level and any product documentations is functional from a product perspective.
  • Liaise with external counsel if necessary to provide legal advice to business units of Asset Management and Brokerage.
  • Any other ad hoc duties as and when necessary assigned by supervisors within Compliance and Legal Department.
  • Effective litigation management.


  • Qualified Hong Kong lawyer with a minimum of 5 years’ relevant experience
  • Relevant experience in law firms or inhouse asset management and securities companies
  • Experience in working in Chinese financial institutions would be advantageous
  • Able to communicate well with colleagues in Mandarin and English
  • Experience with unit trusts and ETFs
  • Knowledge with Hong Kong and PRC laws and regulations with respect to asset management, e.g. relevant regulatory SFC/ HKEX requirement, Stock Connect, Mutual Recognition of Funds, QDII etc.
  • Knowledge on Master Agreements (ISDA/ GMRA/ GMSLA/ CSA) would be advantageous
  • Ability to spot legal risk and resolve issues by taking into account commercial consideration
  • Ability to deal with ambiguities and resilience to stress.

For interested parties, please send your CV to z.han@hamlynwilliams or call directly on +852 2777 6042 for any inquires.