Legal and Compliance Officer
2 hours ago
Legal Function:
• Understand, draft and review contracts and other legal documentation
• Handle the corporate secretarial matters of the COL group
• Monitor legal developments and provides recommendations to mitigate legal risks
• Assist in the formulation and implementation of the legal strategy of the COL group and the companies in that group
• Respond to correspondences from regulators
• Liaise with third parties, including regulatory agencies, on various matters
• Provide legal training and education to staff and management on various legal topics
Compliance Function:
• Monitor and ensure compliance with applicable laws, and rules and regulations of regulatory agencies, including all disclosure requirements of the COL group with the various regulators
• Liaise with internal and external stakeholders on different compliance concerns
• Will be required to take the Associated Person exam
Others:
- Act as Notary
Requirements:
- Must have a LLB or JD from a reputable law school and be a bar passer
- At least 1-3 years of experience working in a law firm
- With understanding of corporate law/ compliance regime in securities industry
- Good attention to detail; with integrity; no material disciplinary history
- Excellent oral and written communication skills
- Can work independently and with minimum supervision
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