Overview
This role involves serving as the principal legal advisor for a global trading and investment firm, providing expertise across multiple regulatory frameworks including MAS, SFC, SEC/CFTC/FINRA, and FCA. The position requires leadership in regulatory engagement, corporate transactions, intellectual property management, governance, and compliance oversight.
Responsibilities
Regulatory and Market Advisory
- Advise on trading, market conduct, and securities regulation.
- Counsel business leadership on market access, exchange memberships, clearing arrangements, and cross-border trading structures.
- Lead regulatory engagement including inquiries, filings, and enforcement actions.
Corporate and Transactional Work
- Provide legal support for fund formation, mergers and acquisitions, joint ventures, seed investments, and strategic transactions.
- Manage entity formation, licensing, and operational buildouts across trading, research and development, and investment operations.
- Negotiate key documentation such as Limited Partnership Agreements (LPAs), ISDAs/CSAs, prime brokerage, and execution agreements.
Intellectual Property, Employment, and Dispute Management
- Direct intellectual property protection strategies covering proprietary code, data, and research outputs.
- Advise on employment and partner-level matters including restrictive covenants and IP protections upon exit.
- Manage disputes and regulatory proceedings in collaboration with external counsel.
Governance and Compliance Oversight
- Lead the Legal & Compliance Department, including internal counsel, compliance officers, and operational support staff.
- Supervise regional compliance functions to maintain independence of regulated entities, including Singapore LFMC.
- Oversee outsourced compliance providers to ensure global consistency and effective risk management.
- Advise partnership and board on governance, profit-sharing, and fiduciary structures.
- Collaborate with finance and tax counsel to align tax and transfer pricing execution with operational design.
External Counsel and Provider Management
- Build and manage relationships with leading law firms and compliance service providers across jurisdictions.
- Establish a disciplined, cost-efficient panel structure with consistent performance oversight.
Requirements
- LL.B., J.D., or equivalent degree.
- Admission to practice law in Hong Kong, Singapore, New York, or England & Wales.
- Minimum 12 years of post-qualification experience, including significant in-house experience at a hedge fund, proprietary trading firm, investment bank, or asset manager.
- Deep knowledge of securities regulation, derivatives, fund formation, or financial services M&A.
- Proven success managing relationships with financial regulators such as MAS, SFC, SEC, and FCA.
- Demonstrated leadership in building and managing cross-border legal and compliance teams.
- Professional proficiency in English and Mandarin.
Preferred Qualifications
- Prior in-house experience at a quantitative hedge fund, high-frequency trading firm, or market maker.
- Experience handling intellectual property, trade secret, or data-related matters within financial services.
- Familiarity with legal and regulatory structures spanning Mainland China, Hong Kong, Singapore, and the United States.
Compensation and Benefits
- Leadership role shaping the global legal and governance infrastructure.
- Direct collaboration with senior leadership including COO, Managing Partner, and founding partners.
- Competitive compensation package with long-term incentive alignment.
Location
The role requires admission to practice in one or more of the following jurisdictions: Hong Kong, Singapore, New York, or England & Wales. Specific location details are not provided.