Legal & Compliance Analyst at Cordros Capital

JOB PURPOSE

• Cordros Capital Limited needs an experienced Legal Practitioner to join our dynamic Legal and Compliance team. The ideal candidate should have a deep understanding of the regulatory landscape in the finance and capital market space.

RESPONSIBILITIES

• Regulatory and Compliance Management
• Monitor adherence to compliance processes and policies as well as regulations and laws.
• Identify instances of non-compliance with laid policies and processes and/or regulations and escalate issues as appropriate and refer complex issues to Team Lead, Legal and Compliance.
• Adhere to the departments tracker on the filing of all regulatory returns (PEP, FTR, STR) etc
• Review onboarding documents and ensure all KYC procedures are implemented.
• Review and approve Client mandates in line with process flows.
• Understand and effectively implement AML/CFT/PF measures across the group.
• Document Preparation and Legal Advisory
• Prepare and review all necessary legal documents required to support the Group (NDA, SLAs, DPAs) etc.
• Assist in preparing necessary reports to Departmental head and management on Legal and Compliance activities within the group.
• Independently conduct research and analysis to develop solutions.
• Stay updated on evolving regulatory requirements and industry best practices and prepare legal opinions on how it affects each business within the group.
• Provide guidance and training to internal teams on compliance-related matters, fostering a culture of awareness.
• Support the resolution of compliance related issues/ incidents and ensuring the adherence to corrective measures to prevent reoccurrence.
• Preparation of minutes of meetings
• Draft and update compliance policies and process flows.
• Client and Customer Management/Internal and External Stakeholder Management
• Apply basic principles of effective relationship management.
• Liaise with internal and external stakeholders to establish a robust compliance network
• Resolve standard compliance queries from internal or external customers and referring more complex matters to Team Lead, Legal and Compliance
• Collaborate closely with cross-functional teams to ensure that compliance measures are seamlessly integrated into all aspects of product development, operations and expansion initiatives.

EDUCATION

• A Bachelor of Laws (LL.B) & B.L or a Master of Laws
• A Second Degree and/or Completion of Relevant Professional Certification will be an added advantage. (DCP, CAMS, CFE).

EXPERIENCE

• Minimum of three (3) years' experience in a Legal and Compliance role

KEY KNOWLEDGE & SKILLS

• Knowledge

The incumbent must have proficiency knowledge in the following areas:

• Legal drafting: demonstrates the ability to support drafting of legal agreements/statutory documents (eg. NDA, DPA, legal opinions & term sheets).
• Regulations and laws affecting the finance/capital market
• Intermediate use of Microsoft Office
• Skills Required