Compliance Legal Officer
Job Summary
We are looking for a Compliance & Legal Officer to oversee regulatory compliance, manage relations with regulatory bodies and stakeholders, and ensure the business meets all compliance and legal requirements. The candidate will advise the organization on compliance issues, lead license applications, and manage agreements. A background in the financial industry with solid compliance knowledge is required.
Responsibilities
- Oversee and manage all aspects of Regulatory Compliance
- Act as primary contact point for regulatory and enforcement agencies
- Lead application of licences, approvals and Fintech-related permits
- Establish and manage an effective compliance program and system of controls
- Negotiate, draft and review agreements and manage legal documents
Required Skills
- Degree/professional qualification with 3+ years experience or diploma with 5+ years experience in the financial industry
- Solid knowledge of compliance regulations
- Ability to function in a fast-paced environment
- Collaborative approach with strong stakeholder engagement skills
- Excellent verbal and written communication skills in English
Job Details
The Role: We’re looking for a suitable candidate to oversee and manage all aspects of Regulatory Compliance, ensuring that the business complies with all applicable regulatory and compliance requirements. This candidate will be the liaison between related regulatory bodies, banks and/or stakeholders and a ‘role model’ to the Team of what it means to have a compliance, risk & governance mindset.
The Responsibilities:
- Advise and support the organisation on day-to-day Compliance related issues & escalations, questions & requirements in accordance with the Securities Commission guidelines, other applicable Regulatory bodies and/or institutions
- Act as the primary contact point for interactions with various regulatory and enforcement agencies
- Stay updated on relevant regulatory developments in the Fintech industry, providing insights on potential challenges or implications
- Lead the application of any licence(s), approvals and/or Fintech-related permits
- Establish and manage an effective compliance program, implementing a system of controls
- Collaborate with internal departments to ensure overall compliance with regulatory and licensing requirements
- Facilitate regulatory or external audits and assessments in cooperation with stakeholders
- Negotiate, draft and review agreements, managing legal documents, assisting in corporate secretarial functions and managing/working with external stakeholders
Requirements:
- Candidates with solid knowledge of compliance regulations MUST possess either a: Degree/professional qualification with at least 3 years of relevant experience in the financial industry OR Relevant diploma with at least 5 years of relevant experience in the financial industry
- Ability to function effectively in a fast-paced environment while adhering to established processes and guidelines
- Collaborative approach with the ability to engage professionally with internal and external stakeholders
- Excellent communication skills (both verbal and written) with a strong proficiency in English