• As a Legal and Compliance Officer at our esteemed inter-dealer broker firm, you will play a pivotal role in providing expert legal advice and guidance to our organization, safeguarding our business operations, and maintaining compliance with industry regulations.

Your responsibilities will include:

• Regulatory Compliance: Monitor and interpret relevant laws, regulations, and industry guidelines to ensure the company’s adherence to legal requirements. Implement and maintain compliance policies and procedures.
• AML/CFT Compliance: Act as the AML/CFT Compliance Officer. Taking responsibility for AML and Financial Crime compliance and reporting.
• Policy Formulation and Enforcement: Develop and update internal policies and procedures to align with regulation, and best practices in collaboration with relevant stakeholders. Keep informed about changes in laws and regulations that may impact policies and provide training and awareness programs to educate employees about policies and procedures.
• Risk Assessment: Conduct thorough risk assessments and audits to identify potential compliance gaps and areas for improvement. Develop strategies to mitigate risks effectively.
• Due Diligence: Perform due diligence on clients, counterparties, and third-party vendors to ensure they meet compliance standards.
• Training and Education: Provide training to employees on compliance-related matters and foster a strong compliance culture within the organization.
• Reporting and Documentation: Prepare and submit regulatory reports accurately and in a timely manner. Maintain comprehensive and up-to-date compliance records.
• Incident Management: Handle compliance-related incidents, investigate any breaches, and implement corrective actions to prevent future occurrences.
• Legal Consultation: Offer timely and accurate legal advice to management and other departments on a wide range of legal matters, including contract interpretation, employment law, intellectual property, data protection, regulatory compliance, and litigation risks.
• Contract Review and Negotiation: Review, draft, and negotiate various contracts, agreements, and legal documents to protect the company’s interests and minimize legal risks.
• Dispute Resolution: Assist in resolving disputes and potential legal claims, including coordinating with external legal counsel when required.

Qualifications and Requirements

• High ethical standards and commitment to maintaining confidentiality.
• Minimum of 4 year post call experience, specifically in company secretarial practice which includes: Review and drafting of legal agreements, Review and recommendation on litigation proceeding, Company incorporation, change of directors and shareholding, minutes of meeting, etc.
• Excellent communication and interpersonal abilities.
• Ability to work independently and collaborate effectively in a team-oriented environment.
• Ability to analyze complex legal issues, identify key risks, and provide sound legal recommendations.
• Excellent, proven organizational and time-management skills.