Legal and Compliance Operations Analyst

Qode's client; Kuala Lumpur; On-site; MYR 90,000 - 130,000; Full time

Job summary

Qode's client is seeking an operations-focused compliance professional to run the engine room of the legal and compliance function. Reporting to the Head of Legal and Compliance, you will design and implement systems ensuring AML/KYC, regulatory filings, and governance are executed with precision.

You may come from Law, Finance, or Business and excel in process design, stakeholder management, and continuous improvement in a fast-growing asset management environment across Asia-Pacific.

Qualifications

• Education: a degree in Law, Finance, Business or related field.
• Experience: 3 to 5 years in asset management, law, corporate secretarial, compliance, or startup operations.
• Mindset: self-motivated, results-driven, high standards, detail-oriented, proactive and rigorous.
• Organisational mastery: structured, deadline-driven in a fast-growing env.

Responsibilities

• Fund onboarding and stakeholder support: lead onboarding and AML/KYC execution.
• Financial regulatory reporting: coordinate licensing and reporting to MAS and ASIC.
• Workflow design and operational administration: design, implement, and streamline workflows for fund launches and investments.
• Governance and entity management: maintain source of truth, governance records, and filings.
• Portfolio companies management: track compliance and governance documents post-investment.
• Transactional execution support: assist with document execution and audit trails for transactions.

Skills

Stakeholder management

Regulatory reporting

Workflow design

Governance & entity management

Operational administration

Attention to detail

English communication

Education

Bachelor's degree in Law/Finance/Business

Tools

MS Office

Document management systems

Job description

About the firm

Our client is an established asset manager with offices in Singapore and Australia. They seek to invest in technology-led businesses that will power growth in the Asia-Pacific region over the coming decades. We act as a solutions provider by the provision of both credit and equity across a company's lifecycle.

About the role

Reporting to the Head of Legal and Compliance, you will be the "engine room" of their legal and compliance function. This is an operations-focused role suited for someone who is open to designing systems and takes pride in ensuring they run like clockwork. Whether your background is in Law, Finance, or Business, we are looking for adaptability, intellectual curiosity, and a "get-it-done" attitude. Even if you have a background in a different discipline, we would love to meet you if you possess these traits.

Role responsibilities

• Fund Onboarding & Stakeholder Support: Lead stakeholder management and coordinate end-to-end investor onboarding processes, collaborating closely with fund administration to ensure seamless AML/KYC execution and strong relationship management.
• Financial Regulatory Reporting: Coordinate and execute periodic licensing and reporting requirements for financial regulators including Monetary Authority of Singapore (MAS) and Australian Securities & Investments Commission (ASIC).
• Workflow Design & Operational Administration: Manage overall operational administration and assist in designing, implementing, and streamlining workflows for fund launches, investor onboarding, and investment transactions.
• Governance and Entity Management: Maintain the firm’s "source of truth," including corporate governance records such as resolutions and Accounting and Corporate Regulatory Authority (ACRA) filings for the firm and its funds/SPVs, and working with their corporate secretarial service providers to ensure their obligations are met with methodical consistency.
• Portfolio Companies Management: Act as the primary custodian of portfolio company records, ensuring the "source of truth" is accurate and up-to-date. Manage the post-investment lifecycle by systematically tracking portfolio company compliance, coordinating the collection and processing of governance documents (such as board and shareholders resolutions, updated cap tables).
• Transactional Execution Support: Facilitate the end-to-end administrative execution of investment activities, including the management of transaction documents. Assist with the transaction closing by coordinating document execution, maintaining audit trails for every transaction, and ensuring all corporate governance requirements (e.g. drafting resolutions and managing filings) are completed with precision.

What we’re looking for

• Education: A degree in Law, Finance, Business (or another discipline if you are eager to expand your professional scope).
• Experience: 3 to 5 years in a professional environment such as Asset Management, Law, Corporate Secretarial, Compliance, or Start-up Operations.
• Mindset: A highly self-motivated and results-driven professional characterised by a strong work ethic and exceptionally high standards, combining meticulous attention to detail with an adaptable, intellectually curious approach defined by tenacity, personal accountability, and a proactive dedication to continuous improvement and operational rigor.
• Organisational Mastery: A structured and detail-oriented work style, with the ability to meet tight deadlines in a rapid-growth environment.
• Systems, Tools & Operational Administration: Proven expertise in core operational administration and financial operations workflows, along with a high degree of comfort in using digital platforms for process automation, system enhancement, and workflow optimisation.
• Communication & Stakeholder Management: Strong verbal and written skills in English, with a strong focus on active stakeholder engagement, relationship management, and conveying the firm's mission and vision effectively across internal and external stakeholders.