Head of Legal and Compliance – UHNW family office

Job Description

Reporting to the CEO for the family office who works directly with the board, the Head of Legal and Compliance is responsible for overseeing all legal and compliance matters within the organization. The ideal candidate will possess a deep understanding of legal and regulatory frameworks, excellent management abilities, and the flexibility to potentially relocate to a different location as required by the company’s needs.

Responsibilities

• Legal and Compliance Strategy: Develop and implement the company’s legal and compliance strategies, ensuring alignment with business objectives, industry regulations, and best practices.
• Regulatory Compliance: Monitor, interpret, and ensure compliance with applicable laws, regulations, and industry standards. Advise the executive team on potential risks and recommended actions.
• Contract Management: Oversee contract negotiation, drafting, and review processes.
• Corporate Governance: Provide guidance on corporate governance matters, including board meetings, shareholder meetings, and regulatory filings. Stay informed about changes in corporate governance regulations and advise senior management accordingly.
• Risk Management: Identify legal and compliance risks, assess their potential impact on the business, and develop strategies to mitigate those risks. Implement risk management programs and monitor their effectiveness.
• Compliance Training and Education: Develop and deliver training programs to educate employees on legal and compliance matters. Promote a culture of compliance throughout the organization.
• Internal Investigations: Lead and/or oversee internal investigations into potential compliance violations, legal disputes, or unethical behaviour. Ensure thorough and timely resolution of such matters.
• External Relationships: Establish and maintain strong relationships with external legal counsel, regulatory bodies, and other relevant stakeholders.
• Team Leadership: Build and lead a high-performing legal and compliance team. Provide guidance, mentorship, and support to team members, fostering their professional development and success.
• The Successful Applicant

Requirements

• Juris Doctor (J.D.) degree from an accredited law school. Admission to the bar in Hong Kong, England & Wales or Singapore would be preferred.
• 12 years or more in practicing law, preferably in a corporate or regulatory environment. Previous experience in a leadership or managerial role.
• Deep knowledge of legal and regulatory frameworks, particularly within the trust, fiduciary, tax, labor, corporate law etc.
• Strong understanding of corporate governance principles and best practices.
• Excellent analytical and problem-solving skills, with the ability to identify and assess legal and compliance risks.
• Exceptional communication and negotiation abilities, with the capacity to convey complex legal concepts in a clear and concise manner.
• Direct work experience from a UHNW family office or similar organizations would be preferred.
• Sound knowledge in rules and regulations administered by the SFC is advantageous.
• Demonstrated leadership skills and the ability to effectively manage and inspire a diverse team.
• Proven track record of developing and implementing legal and compliance strategies.
• Flexibility and willingness to potentially relocate to a different location based on the company’s requirements.