This is a well-established securities firm in Singapore with a strong presence in Asia. They have been at the forefront of the market, offering a wide variety of service, including; share trading, and multi-asset trading to margin financing, corporate financing, IPO financing and derivatives trading in OTC, warrants and CFDs.
They are seeking an experienced Head of Legal to join their dynamic team at a leading Securities Brokerage firm based in Singapore. The ideal candidate will be responsible for providing strategic legal advice and support to the organization, ensuring compliance with relevant laws and regulations, and managing legal risks associated with the firm's operations in the financial services sector.
Key Responsibilities
- Provide expert legal advice and guidance on a wide range of matters pertaining to securities brokerage activities, including regulatory compliance, corporate governance, contractual agreements, and risk management.
- Conduct legal research and analysis to stay abreast of developments in securities laws, regulations, and market practices in Singapore and internationally.
- Advise senior management on legal implications and risks associated with business decisions, transactions, and initiatives.
- Identify legal risks and vulnerabilities associated with securities brokerage activities and develop strategies to mitigate such risks effectively.
- Draft, review, and negotiate a variety of contracts and agreements, including client agreements, vendor contracts, and partnership agreements, to safeguard the firm's interests and mitigate legal risks.
- Ensure that contractual arrangements comply with legal requirements and align with the firm's strategic objectives and risk tolerance.
- Manage and oversee legal disputes, litigation, and regulatory investigations involving the firm, working closely with internal stakeholders, external counsel, and regulatory agencies to achieve favorable outcomes.
- Develop strategies for dispute resolution, including negotiation, mediation, arbitration, and litigation, to protect the firm's interests and reputation.
Key Requirements
- A Qualified lawyer with a Bachelor's degree in Law (LL.B) from a reputable institution
- Minimum of 8-10 years of relevant legal experience in securities law, financial services regulation, or corporate law, preferably within a securities brokerage firm, investment bank, or financial institution.
- In-depth knowledge of securities laws and regulations in Singapore, including the Securities and Futures Act (SFA), Financial Advisers Act (FAA), and relevant regulations issued by the Monetary Authority of Singapore (MAS).
- Strong understanding of financial products, markets, and trading practices, with experience in equities, derivatives, and other securities instruments.
- Proven track record of providing strategic legal advice, managing regulatory compliance, and mitigating legal risks in a complex and dynamic business environment.
- Excellent communication, negotiation, and interpersonal skills, with the ability to interact effectively with senior management, regulators, external counsel, and other stakeholders.
- Demonstrated leadership capabilities, with experience in leading and developing a team of legal professionals.
- Strong analytical and problem-solving skills, with the ability to think strategically and proactively identify legal and regulatory issues.
If you have the above skills and experience and you are looking to take the next step in your career, email a copy of your CV to [email protected] to begin a conversation or apply online today.
