Associate at SHQ Legal

Role Description

• This is a full-time hybrid role for the management of the general operations of the business.
• The associate will be responsible for overseeing the foundational team including core operations and administration that support: client management, trading operations, settlement and obligations management and recording keeping function of the business.

Operational Management

• Daily Operations Oversight: Ensuring smooth daily operations, including transaction processing, settlement, and safekeeping of assets.
• Risk Management: Implementing risk management policies and procedures to mitigate operational, credit, and market risks.
• Compliance: Ensuring compliance with regulatory requirements and industry standards, and liaising with regulatory bodies.
• Technology Management: Overseeing the use and maintenance of technology and systems that support custodial functions.

Client Relations

• Client Management: Building and maintaining strong relationships with key clients, addressing their needs, and ensuring high levels of customer satisfaction.
• Service Improvement: Continuously improving service delivery and operational efficiency to meet and exceed client expectations.

Strategy & Innovation, Stakeholder Reporting

• Market Analysis: Conducting market research and analysis to identify new opportunities and potential threats.
• Product Development: Leading the development of new products and services to meet client needs and stay ahead of industry trends.
• Business Reporting: Reporting to the business promoter on operational performance, strategic initiatives, and other key issues.
• Process Improvement: Identifying areas for process improvement and implementing best practices to enhance efficiency and effectiveness.
• Technology Integration: Evaluating and integrating new technologies to improve service delivery and operational capabilities.

Legal and Regulatory Compliance:

• Oversee the conduct of data privacy audits and handle other regulatory preparation and submission of license applications and other miscellaneous tasks.
• Ensure all activities comply with regulatory requirements and internal policies.
• Develop all required periodic statutory reports as per the Securities & Exchanges Commission (“SEC”) within the required time frame.
• Stay updated with changes in regulations and industry
• Provide legal advisory services in relation to securities and capital markets transactions including advisory services on rights issues, public offers, private placements, complex debt instruments and securities
• Verified authenticity & accuracy of documents in a bid to ensure compliance with relevant regulations, company policies and ensure data integrity

Qualifications

• Knowledge of capital market operations
• Excellent written and verbal communication skills
• Attention to detail.
• Ability to work as part of a team.
• Operational experience in financial services firms like stockbroking, fund/asset management or asset custodian companies with Operations (Back-Office experience is preferred)
• Bachelor's degree in Law, Finance, Economics
• Relative experience working in a Trustee
• Experience working for a Financial service firm