Legal Advisor

Job Description

The successful candidate will be responsible for supporting the team in all matters related to business compliance, investment compliance, and AML regarding the business. Your role will involve close collaboration with the investment team, providing them with valuable compliance advice. Additionally, you will conduct regular compliance reviews to ensure adherence to the latest regulations. Your ability to liaise effectively with external parties will be key in this role.

The Role:

• Aid and advice on all-rounded compliance issues, including registering/licensing new investment advisers and licensing individuals.
• Support the in all compliance matters, including business compliance, investment compliance, and AML regarding Asset management and Private Equities Business
• Work Closely with the investment team, providing compliance advice to business units and performing compliance monitoring on post-trade/pre-trade.
• Conduct compliance reviews, maintaining and updating policies and procedures to ensure adherence with latest regulations and internal policies.
• Liaise with external parties regarding compliance matters, including external compliance consultant, auditors, law enforcement, and regulators.
• Assist in ad-hoc compliance tasks as required.
• Provide advice, guidance, and assistance to the business as necessary and appropriate, on how to achieve and maximize business objective under applicable laws, regulations, ordinances, governmental decrees and company policies with efficiency and legal protection.
• Provide Legal advice for all daily operations and new business initiatives.
• Identity, assess, and effectively manage legal risk from time to time; assist with the development of corporate policies and procedures.
• Draft, review, and manage contracts, NDAs, service agreements, and other legal documents
• Support corporate governance, including entity setup, board resolutions, and internal approvals
• Oversee basic compliance requirements, including KYC/AML checks, licensing, and regulatory filings
• Liaise with external legal advisors when needed
• Help build internal workflows and maintain documentation
• Stay on top of changing legal and compliance obligations across our operating regions
• Assist with internal training and communication on legal/compliance risks

What experience is required?

• Min 8 years of relevant experience in a compliance discipline is required Finance, Fund-Administration or FinTech sectors are highly regarded.
• Sound knowledge of authorized funds and fund manager code of conduct is necessary.
• Ability to work well with various business units and internal teammates is crucial.
• Fluency in verbal and written English
• Strong training and audit skills
• Demonstrate ability to work hands-on and operate independently as a sole contributor,
• Able to work under pressure and enjoy working in a fast-paced environment.
• Excellent written and verbal communication skills and excellent interpersonal skills with the ability to interact with people at all levels and work in multi – cultural work environment.
• Strong analytical, interpersonal, and problem – solving skills working within a matrix structure.