Responsibilities:
· Oversee and manage due diligence checks and compliance matters as required under Capital Market Service (CMS) license requirements
· Develop, implement and maintain a robust legal framework to ensure controls are in place
· Provide legal advice and support to the management team on various business and investment activities, including contracts, transactions, and corporate governance.
· Adequate due diligence, draft, review, and negotiate contracts, agreements, and other legal documents to safeguard the company’s interests.
· Develop, implement, and maintain the company’s legal and compliance program, ensuring adherence to all applicable laws, regulations, and industry standards.
· Organize and conduct staff compliance trainings
· Provide advice with respect to marketing requirements of funds in various jurisdictions
· Analyzing investment transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters in order to conduct full compliance verification for all funds, separate accounts and investments.
· Participating in numerous ad hoc investment projects responsible in legal and compliance due diligence
· Providing regulatory advice to fund management clients on areas relating to risk, regulations and compliance.
· Conducting compliance reviews and internal audits for asset and portfolio managers and formulating recommendations for improving processes and controls to better comply with industry/market practices, regulatory requirements and regulators’ expectations and reporting to senior management.
· Ensure all dealings are carried out with integrity and professionalism
· Managing key stakeholder relationships, including communication of the scope of work, findings and observations, industry updates.
· Assist with or take charge of legal and compliance related ad-hoc projects or tasks as may be assigned from time-to-time
Requirements:
· Minimum of a Bachelor's Degree (Laws preferred)
· Minimum of 3 years of experience in legal and compliance roles.
· Knowledge of the global equity and fixed income markets, including an understanding of financial products such as private equity, bonds, equities, and derivatives.
· Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
· Highly motivated self-starter with the ability to work collaboratively and independently
· High interest in the asset management or private wealth management landscape
· Positive attitude to learn and strong team player.
· Possess strong values and personal integrity
· Good verbal and written communication skill in English, Mandarin, Malay and Bahasa Indonesia will be an advantage
