Compliance & Risk (Banking & Financial Services)
Full time
A Tier 1 Family Office is looking for a Legal & Compliance Associate to join their growing global team.
About Us
Westgrove was founded in 2013, by Partners with a Hedge Fund and Corporate Finance background. Our mission is to provide best-in-class Asset Management and Investment Banking services globally, to a select number of families and their corporates.
Job Description
This is an exceptional opportunity for a high calibre professional who thrives within a pressurised and fast-paced working environment, to join our new Malaysia office working alongside senior management and to develop a successful career at Westgrove.
This exciting role offers a unique opportunity to be part of a dynamic front-office team, heavily involved in buy-side private equity legal execution in a growing market. Ideal for a highly motivated, detail-oriented professional eager to make an impact, this role offers unparalleled exposure to PE operations in a new and expanding office.
Job Responsibilities
General Legal Support – support on the NDA process, creation of agreement templates and corporate secretarial duties. Provide detailed support and functionality in legal matters that may be applicable to the Firm including the development and monitoring of Legal (and where relevant, compliance) procedures for the Firm to ensure compliance with current legislation.
Regulatory Compliance Support – support on regulatory compliance, ensuring alignment with both the Monetary Authority of Singapore (MAS) and Financial Conduct Authority (FCA) rules and regulations. Keep up to date with industry trends, regulatory and economic policies and changing markets. Serve as the secondary point of contact for all Regulatory Compliance matters. Identify gaps, propose remediation actions, and track action plans to closure in a timely manner. Offer oversight and advice on regulatory compliance within the Capital Market Service (CMS) license regime.
Advisory – provide advisory support on regulatory requirements, including the Securities and Futures Act (SFA) and Securities and Futures Regulations (SFR), to business units. Collaborate with stakeholders to address information requests and respond promptly to regulatory queries.
Operational Support - act as the focal point for all Compliance-related issues and inquiries. Participate in new initiatives/projects, offering guidance from a regulatory Compliance perspective. Provide mandatory training to stakeholders on key regulatory requirements, such as FATCA/CRS, SFA04N02, and stay informed about changes or updates in the Capital Markets Products regime, particularly those related to SFA and SFR.
Project Management - initiate and lead the implementation of new Compliance policies in accordance with MAS for Capital Market Products, mitigating Compliance Risks effectively. Develop and oversee a comprehensive Compliance training program. Oversee general compliance matters, including the drafting of policies and procedures in accordance with MAS regulations for Capital Markets Products.
Address ad-hoc AML-related matters.
Directly support the Legal Counsel on all other day-to-day, and ad-hoc, legal duties.
Skills and Requirements
Degree holder, preferably in Law from a reputable establishment.
Qualified solicitor with a minimum of 3 to 5 years professional experience (excluding internships etc) at a leading law firm, with relevant background and experience in regulatory experience and a desire to grow into a Chief Compliance Officer role for a multi-national firm operating across Malaysia, Singapore, and London.
Sound knowledge of legal and financial regulations, alongside compliance obligations.
Knowledge of the fiduciary duties of Directors and corporate governance requirements.
Proficient in Microsoft Office.
International exposure desired but not a must.
Exceptional communication and interpersonal skills, both written and verbal.
Superb English, proof-reading skills, exceptional attention to detail whilst always maintaining the highest standards.
Proven ability to provide seamless support under pressure with strong analytical and problem-solving skills.
Ability to demonstrate initiative, and to work with a high degree of autonomy and independence.
Proactivity: can multi-task, plan, prioritise and organise. Able to juggle a varied workload, meet deadlines, and plan ahead. Adaptable to change.
Desire to work in a collegiate and dynamic team, to be a true team player. Collaborative with a can-do mindset.
Self-motivated and driven.#J-18808-Ljbffr