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Legal & Compliance Project Manager (VP) - Leading Investment Bank


15 August 2023

Hong Kong

Our client, a leading investment bank globally, is seeking a highly skilled and experienced Legal and Complaince Project Manager. This role offers an exciting opportunity for a dynamic individual to lead and manage key projects within the Legal and Compliance division.


  • Lead and oversee the execution of compliance projects, ensuring adherence to regulatory standards, internal policies, and best practices.

  • Manage complex compliance-related initiatives, such as regulatory changes, system enhancements, and process improvements, from initiation to completion.

  • Collaborate with cross-functional teams, including Legal, Risk, Technology, and Operations, to drive the successful delivery of projects.

  • Develop project plans, establish project timelines, and monitor progress against milestones, ensuring on-time and within-budget project delivery.

  • Conduct comprehensive risk assessments and impact analyses to identify potential compliance issues and devise appropriate mitigation strategies.

  • Provide guidance and advice to stakeholders on compliance matters, ensuring a thorough understanding of regulatory requirements and industry best practices.

  • Keep up-to-date with relevant local and international regulations, industry trends, and market practices, and assess their impact on our business.

  • Drive the implementation of compliance tools and systems, working closely with IT teams to ensure efficient and effective integration.

  • Coordinate and conduct compliance training and awareness programs, designing and delivering engaging materials to promote a culture of compliance.

  • Handle complex compliance inquiries and investigations, working collaboratively with internal and external parties to address any potential breaches or irregularities.

  • Maintain accurate documentation of all compliance-related processes, procedures, and initiatives.


  • Bachelor's degree in Law, Finance, Business, or a related field; professional certifications in compliance, such as CAMS or CRCMP, are preferred.

  • Proven experience (minimum 8 years) in compliance or legal role within the financial services industry, preferably within investment banking.

  • Strong knowledge of Hong Kong regulatory requirements (HKMA, SFC, etc.), as well as a good understanding of international regulatory frameworks.

  • Proven track record in successfully managing and delivering complex projects within a highly regulated environment.

  • Excellent understanding of compliance risk management principles and best practices.

  • Exceptional project management skills, with the ability to multitask and prioritize effectively.

  • Strong problem-solving skills and ability to think strategically and analytically.

  • Excellent interpersonal and communication skills, with the ability to liaise and influence stakeholders at all levels.

  • Proactive and results-oriented mindset, with a keen eye for detail.

  • Fluency in English; knowledge of Mandarin or Cantonese would be advantageous.

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