Description
About the role
The Legal & Compliance Associate is responsible for providing legal advisory, structuring, and due diligence support for all corporate transactions across our asset management departments, financial technology and real estate.
Additionally, the role will provide support firm-wide on client experience, intellectual property, regulatory compliance, and corporate governance.
You will report to the Head Legal & Compliance.
Responsibilities
Conducting compliance training for employees and providing guidance on compliance-related matters.
Assisting with the implementation of compliance programs and procedures, including the development and implementation of policies, procedures, and controls to ensure compliance with relevant laws and regulations.
Drafting, proof reading, and amending legal documents and corporate policies, relating to, and maintaining updated records of all corporate transactions in order to ensure the company’s interest is always protected in all transactions.
Conduct relevant research and provide legal opinion on Legal issues as may be delegated.
Collaborating with other departments, such as risk management and internal audit, and third-party resources to ensure that the company's compliance programs are effective and up to date with records properly kept.
Participating in internal and external audits and regulatory examinations and working with internal and external stakeholders to resolve compliance issues.
Providing Corporate Governance and Company Secretarial services to the Board, Board Committees, and relevant Circles of the Company as may be delegated from time to time.
Maintaining proper statutory records of the Board documents and corporate information of the Company.
Representing the company as required in legal and regulatory matters and managing relationships with external legal counsel.
Qualifications
LL. B & BL compulsory
4-6 years proven work experience in a related position and a keen interest in investment
Experience in law firms and investment management or financial services firms preferred
ICSAN and CGI membership preferred
SEC Sponsored Individual license is an added advantage
Desired Attributes
Extensive legal and regulatory knowledge
Strong leadership, analytical, and communication skills
Possess great attention to detail and can work with minimal supervision
Excellent communication & interpersonal skills
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