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
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