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Legal Counsel, Compliance

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Sotheby's

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Location:
Hong Kong

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Category:
Legal

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Contract Type:
Not provided

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Salary:

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Job Description:

This role will report to the Director of Financial Crime and Compliance and MLRO for EMEA & Asia and will assist with developing, implementing and managing all aspects of compliance in Asia, including providing advice to business groups and senior stakeholders on compliance related matters affecting Sotheby’s business in Asia. The main focus of this role will be compliance, but the role will also provide assistance to and will support the Litigation Department on contentious matters in Asia.

Job Responsibility:

  • Supporting and advising on financial crime compliance in Asia, including AML/CTPF, sanctions and ABC and corporate offences
  • Supporting the MLRO with managing Sotheby’s internal suspicious activity reporting processes and record-keeping in Asia
  • Acting as the Nominated Officer for Sotheby’s Singapore
  • Assisting with developing, maintaining and keeping under review, Sotheby’s business wide risk assessments, policies and procedures in relation to financial crime
  • Supporting the continuous development, improvement and implementation of Sotheby’s systems controls, policies, procedures and tools to mitigate financial crime risk
  • Equipping existing core operational functions in Asia with adequate anti-financial crime awareness and compliance
  • Acting as point of escalation to advise on and assist with the onboarding of new clients and review of existing clients and their transactions in Asia
  • Perform complex enhanced due diligence reports for higher risk clients, counterparties and transactions
  • Supporting oversight of regulatory affairs in Asia
  • Maintaining in-depth knowledge of relevant financial crime and corporate offence regulations, laws and regimes in Asia
  • Assisting with developing, maintaining, and delivering an education and training programme in Asia
  • Assisting with maintaining Sotheby’s Code of Business Conduct and non-financial crime compliance policies and procedures
  • Providing accurate and timely advice and guidance to Sotheby’s staff in Asia on compliance issues
  • Acting as Data Protection Officer for Singapore
  • Assisting with designing and implementing procedures to monitor the efficacy of the Compliance program
  • Supporting senior stakeholders on larger projects in Asia by providing assistance and advice in connection with compliance related aspects
  • Support and attend local governance committee meetings in Asia
  • Taking an active role in knowledge sharing, thought leadership and practice development
  • Supporting the Litigation Department with advising on and resolving contentious matters arising from all aspects of Sotheby’s business in Asia
  • Assisting with instructing and managing, and working closely with, external counsel in Asia
  • Ensuring appropriate record retention and management

Requirements:

  • Qualified lawyer
  • 3 plus years of post-qualification experience in a regulatory or financial crime practice area at a leading commercial law firm in HK, Europe or the US
  • Comprehensive understanding of applicable anti-money laundering regulations and sanctions regimes
  • Experience in advising on anti-money laundering regulations and sanctions regimes
  • Excellent analytical and written skills
  • Good communication and presenting skills
  • Ability to assess and balance commercial and regulatory risks
  • Ability to think strategically
  • Ability to provide clear guidance and workable, commercial solutions on complex and sensitive issues
  • Excellent relationship management and people skills
  • Team player mentality
  • Professional and calm manner
  • Able to multi-task and prioritise
  • Capable of working independently as well as with a team
  • Accommodating of other time zones as necessary
  • Native fluency in English
  • Chinese (Cantonese and Mandarin) language skills, including ability to read and write traditional and real simplified Chinese

Nice to have:

  • Proficiency and experience in using relevant screening tools (for example, LSEG Worldcheck, Dow Jones, Lexis Nexis)
  • Art law / art industry experience is not required

Additional Information:

Job Posted:
January 20, 2026

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