Legal & Compliance

About the job

The primary objective of this role is to help ensure the effective management of relationships with all regulatory entities, brokers/clearers, and internal compliance, while diligently adhering to market risk limits.

Responsibilities

• Regulatory Compliance: Uphold the company's risk and compliance framework in alignment with regulatory bodies. Prepare regulatory filings, stay abreast of regulatory changes, and handle inquiries and audits efficiently.
• Broker Relations and limits: Develop and maintain strong relationships with brokers, negotiate service terms, and monitor their performance to ensure optimal service quality.
• Compliance and Risk Management: Establish and enforce compliance rules, conduct regular audits, and provide staff training to ensure all team members adhere to these standards.
• Risk Monitoring: Define and enforce risk limits, continuously monitor risk levels, and implement proactive measures to mitigate risks.
• Stakeholder Communication: Maintain regular communication with stakeholders, prepare comprehensive reports on compliance and risk management, and strive for continual improvement in processes for enhanced efficiency and effectiveness.

Requirements

• Education: Bachelor’s degree in Law, Business, or Economics. A Master’s degree is considered an advantage.
• Experience: Experience within the financial services industry is a plus.
• Skills: Strong organizational and communication skills, detailed knowledge of regulatory requirements, technology to boost productivity and the ability to handle complex negotiations and partnerships, coding is a plus.

Application Instruction & Selection process

Interested candidates should send a copy of their resume to [email protected] with “Application for Legal & Compliance” in the subject line. The selection process will involve an initial screening of applications, followed by interviews for shortlisted candidates.