Legal & Compliance Manager

• Work closely with the Head of Compliance to formulate and implement internal controls and compliance policies / procedures
• To be a contact point for any inquiries from regulators
• Manage all compliance matters of the organization and perform regulatory reporting
• Set up internal controls to manage regulatory compliance from FIEL requirement
• Conduct internal trainings to the staffs
• Handle the day-to-day operations of the compliance department including Transaction Monitoring, Trade Surveillance and Screening
• Provide necessary advice to the internal stakeholders including business functions on regulatory matters
• Conduct KYC reviews in coordination with Operations
• Assist all internal and external inspections and audits
• Perform QA/QC & Compliance testing
• Assist on conducting annual Compliance Risk Assessment
• Manage and handle customer complaints in coordination with Customer Services Team
• Set up internal controls to comply with the stock exchange / JSDA regulations and rules
• Set up internal controls to comply with the data privacy laws and rules
• Handle review of marketing materials and prevent advertisements or marketing campaigns that are against the rules and regulations
• Maintaining and updating compliance policies and procedures, in accordance with any regulatory changes (new and revised)
• Carry out other periodic/ad hoc compliance testing
• Review and prepare contracts
• Work closely with external lawyers for any legal inquiries

• Bachelor’s degree holder, with at least 5 years of working experience, from a compliance function in a security firm
• Knowledge on equity product related rules and regulations and other self-regulatory bodies
• Team player with excellent interpersonal and communication skills
• Ability to speak, read and write in English is a plus
• Able to work independently with minimal supervision
• Proficient in MS Office applications

Ability to speak, read and write in English is a plus

• Health insurance
• Welfare pension insurance
• Employment insurance
• Saturdays off
• Sundays off
• National holidays off