Legal Officer at AT&A Investment Limited

Job Summary

• The Legal Officer promotes ethical conduct and compliance with rules, regulations and standard processes that govern how AT&A Group conducts business.
• This applies to how financial transactions and trades are handled, how client accounts are maintained and processed and how the Group operates as a business.

Roles

• Handle internal / external legal concerns of the business
• Give legal advice (which coincide with existing laws) to management to ensure the best legal approach is taken for business ventures
• Specify internal governance policies and regularly monitor compliance
• Regulatory, investment, operational policy interpretation
• Oversight of regulatory filings and compliance with jurisdictional requirements
• Providing technical guidance on existing and new regulations
• Providing training programs to increase understanding of regulatory requirements, compliance policies and ethical conduct within business lines and across the organization
• Monitor positions against investment parameters/ restrictions
• Liaising with regulators in compliance and networking with other compliance officers in their industry in order to stay current with regulatory issues and leading practices.
• Investigate, escalate, and report issues to business management
• Establish and document compliance processes and procedures
• Actively staying on top of the latest laws, regulations and business trends and being able to translate these into requirements for the operation of the organization.
• Monitor whether the business is operating according to applicable regulatory requirements, operating processes and policies.
• Report non-compliance issues to management and work with staff to correct the issue
• Draft and solidify agreements, contracts and other legal documents to ensure the company’s full legal rights
• Conduct research in all our business ventures / proposals to ensure the Group acts in accordance with all applicable laws.
• Keep and manage portfolios for approved projects.

Experience Requirments

• Relevant compliance experience in asset or wealth management
• General investment, regulatory compliance experience
• Proven experience as a legal counsel in a business environment
• Excellent knowledge and understanding of corporate law and procedures

Knowledge:

• The Legal Officer must have proficient knowledge in the following areas:
  • Financial services, securities, investment practices, anti-money laundering
  • Rules and regulations that support the financial services industry
  • Financial sector conduct and practices
  • Capital market regulations

Skills:

• Self driven and a good team player.
• First rate analytical and communication skills.
• Composed under pressure and able to effectively manage and priorities a substantial workload
• Excellent organizational skills
• Excellent problem solving skills
• Good evaluation and interpretative skills
• Good leadership skills
• Ability to understand complex information and requirements
• Sound judgment and ability to analyze situations and information
• Confidence in decision-making
• Attention to details

go to method of application »

Job Summary

• The Legal Officer promotes ethical conduct and compliance with rules, regulations and standard processes that govern how AT&A Group conducts business.
• This applies to how financial transactions and trades are handled, how client accounts are maintained and processed and how the Group operates as a business.

Roles

• Handle internal / external legal concerns of the business
• Give legal advice (which coincide with existing laws) to management to ensure the best legal approach is taken for business ventures
• Specify internal governance policies and regularly monitor compliance
• Regulatory, investment, operational policy interpretation
• Oversight of regulatory filings and compliance with jurisdictional requirements
• Providing technical guidance on existing and new regulations
• Providing training programs to increase understanding of regulatory requirements, compliance policies and ethical conduct within business lines and across the organization
• Monitor positions against investment parameters/ restrictions
• Liaising with regulators in compliance and networking with other compliance officers in their industry in order to stay current with regulatory issues and leading practices.
• Investigate, escalate, and report issues to business management
• Establish and document compliance processes and procedures
• Actively staying on top of the latest laws, regulations and business trends and being able to translate these into requirements for the operation of the organization.
• Monitor whether the business is operating according to applicable regulatory requirements, operating processes and policies.
• Report non-compliance issues to management and work with staff to correct the issue
• Draft and solidify agreements, contracts and other legal documents to ensure the company’s full legal rights
• Conduct research in all our business ventures / proposals to ensure the Group acts in accordance with all applicable laws.
• Keep and manage portfolios for approved projects.

Experience Requirments

• Relevant compliance experience in asset or wealth management
• General investment, regulatory compliance experience
• Proven experience as a legal counsel in a business environment
• Excellent knowledge and understanding of corporate law and procedures

Knowledge:

• The Legal Officer must have proficient knowledge in the following areas:
  • Financial services, securities, investment practices, anti-money laundering
  • Rules and regulations that support the financial services industry
  • Financial sector conduct and practices
  • Capital market regulations

Skills:

• Self driven and a good team player.
• First rate analytical and communication skills.
• Composed under pressure and able to effectively manage and priorities a substantial workload
• Excellent organizational skills
• Excellent problem solving skills
• Good evaluation and interpretative skills
• Good leadership skills
• Ability to understand complex information and requirements
• Sound judgment and ability to analyze situations and information
• Confidence in decision-making
• Attention to details