Compliance, CoSec & Legal Executive

vertexsolutions; Kuala Lumpur; On-site; MYR 180,000 - 300,000; Full time

Job summary

Vertex Solutions is recruiting for a Compliance, Company Secretarial & Legal professional to join a leading alternative asset manager with a global mandate across infrastructure, real assets and private credit.

You will develop policies, oversee regulatory compliance, governance, and legal documentation, and work with staff and external counsel to ensure timely reporting and accurate filings. A bachelor’s degree and 4–6 years in financial services compliance or governance are expected.

Qualifications

• Bachelor’s degree in Finance, Economics, Commerce, Law or related discipline.
• 4–6 years’ experience in financial services compliance or governance.
• Ability to interpret legislation with strong drafting ability.
• Solid grounding in financial services regulatory frameworks.
• Strong organisational and time management skills with discretion.

Responsibilities

• Develop, implement, and maintain compliance policies and procedures.
• Monitor regulatory requirements and internal policies.
• Conduct audits and identify compliance risks.
• Provide staff training on compliance matters.
• Prepare and submit reports to regulators and senior management.
• Assist with board/committee packs and minute-taking.
• Maintain statutory registers and filings across group entities.
• Coordinate with external counsel and manage contract processes.
• Support governance frameworks and director onboarding.

Skills

Regulatory compliance

Governance

Stakeholder management

Attention to detail

Communication

Discretion

Education

Bachelor's degree in Finance, Economics, Commerce, or Law

Job description

Job Title: Compliance, Company Secretarial & Legal

About the Company

Our client is an established alternative asset manager with a global mandate across infrastructure, real assets and private credit. The firm manages a multi-billion dollar portfolio across equity and debt strategies, deploying capital into both developed and emerging markets. Backed by a strong institutional investor base, the platform is at an active growth phase and offers a high level of responsibility and visibility within a focused, senior team.

Job Responsibilities

Compliance

• Develop, implement, and maintain compliance policies and procedures
• Monitor and ensure compliance with regulatory requirements and internal policies
• Conduct regular audits and assessments to identify potential compliance risks
• Provide training and support to staff on compliance-related matters
• Investigate and resolve compliance issues and complaints
• Prepare and submit compliance reports to regulatory bodies and senior management
• Perform regulatory horizon scanning, brief management on shifts in the regulatory environment, provide comments on draft legislation and support implementation of regulatory changes across the business
• Remain current on developments in laws and regulations applicable to financial services
• Ensure the firm’s compliance programme remains effective and continuously updated

Company Secretarial

• Assist in the preparation and circulation of board and committee packs
• Take minutes of meetings and follow up on action items
• Maintain statutory registers and company records across group entities
• Assist with filings at the Companies Registry and relevant regulatory bodies
• Support the implementation of governance frameworks and policies
• Assist with director onboarding and training

Legal

• Assist with the preparation, review and maintenance of legal agreements, fund documentation, corporate records and statutory filings across relevant fund and corporate entities
• Assist with licence and statutory compliance requirements, and coordinate with external legal counsel as required
• Manage contract execution and renewal processes, and provide administrative support for transactions

Essential Qualifications

• Bachelor’s degree in Finance, Economics, Commerce, Law or a related discipline from a recognised university
• At least 4 to 6 years’ experience in financial services in a compliance, governance or equivalent function
• Demonstrated experience interpreting legislation with strong legal drafting ability
• Solid grounding in financial services regulatory frameworks
• Strong organisational and time management skills with the ability to juggle competing priorities
• High degree of discretion when handling sensitive and confidential information
• Team-oriented with a strong personal code of ethics and professional conduct
• Meticulous attention to detail and structured working style
• Confident communicator, comfortable navigating difficult conversations with tact and clarity
• Strong stakeholder management and relationship-building skills
• Sound analytical and problem-solving capabilities

Salary & Benefits

• Competitive package aligned with experience and seniority
• Performance-linked incentive component
• Meaningful scope and ownership within a lean, senior team environment

Application Process