Legal & Compliance Executive

A.D. Financial Group; Petaling Jaya; On-site; MYR 72,000 - 110,000; Full time

Job summary

A.D. Financial Group seeks a capable lawyer to assist the Head of Department in drafting, vetting, reviewing, and negotiating contracts and documents.

You will provide timely compliance reporting to regulators, coordinate with internal teams, and liaise with external legal advisors to ensure up-to-date practices. The role requires strong drafting, analytical, and regulatory knowledge, with Mandarin-speaking clients in mind.

Qualifications

• Bachelor’s Degree in Law (LLB) from a recognized institution; admission to the Malaysian Bar is an advantage.

Responsibilities

• Draft, vet, review, and negotiate various types of business contracts and documents.
• Assist in providing legal/compliance reports to regulators and service providers in a timely manner.
• Liaise with internal stakeholders and regulators on compliance submissions.
• Assist with license applications, renewals, variations for company and financial adviser representatives.
• Coordinate with panel lawyers and regulatory offices; maintain internal legal contract databases.
• Provide legal advisory to internal stakeholders and stay updated on laws, regulations, and best practices.
• Build and maintain relationships with external legal advisors to keep up to date with industry standards.
• Assist in MY legal and compliance matters and manage the group’s compliance-related processes.
• Conduct legal trainings and user trainings for managing the legal contract database.
• Oversee handling of complaints and related liaison with solicitors.
• Assist with estate planning matters and respond to related inquiries.
• Analyze internal business systems for regulatory compliance and assist in policy updates.
• Create, modify, update, and implement company policies; support ad hoc policy tasks.
• Ensure all statutory compliance and renewals are attended promptly.

Skills

Drafting contracts

Regulatory compliance

Communication skills

Independent work

Education

LLB (Bachelor’s Degree in Law)

Job description

• Assist the Head of Department in drafting, vetting, reviewing, and negotiating various types of business contracts, agreements, documents and other relevant written instruments and documents.
• Assist the Head of Department in providing appropriate legal/compliance reporting requirements by the SC, BNM & FIMM (other relevant self-regulated organization) and the service providers in a timely manner within the areas needing change and improvement are acted upon.
• Liaise with all parts of the business as necessary on compliance submission with the regulators.
• Asist the Head of Department in requesting, compiling, submitting and filing of documents for any new application, renewal/or variation of license of the company and the financial adviser representatives required by the relevant regulators.
• Liaise with the panel lawyers and the relevant regulatory offices.
• Assist the Head of Department to provide legal advisory to internal stakeholders. Gain better understanding of the business and its various processes to enhance the quality of legal advice given internally.
• Assist the Head of Department to build and maintain long-term relationships with external legal advisors/legal community to keep up to date with laws, regulations, and best practices.
• Assist the Head of Department in MY legal and compliance matters.
• Assist the Head of Department to manage the internal legal contract database.
• Assist the Head of Department in conducting legal trainings and user trainings in managing the legal contract database with internal stakeholders.
• Manage end to end group related to the current complaint against the functioning as the 2nd key liaison with external solicitors and oversee all works related thereto.
• Assist the Head of Department to advise on issues relating to estate planning matters including monitoring of status of cases.
• Prepare and provide response on legal and compliance documents as instructed by the Head of Department, assisting in conducting legal and compliance research in relation to the assignments given.
• Assist the Head of Department to analyze internal business systems to ensure compliance with industry regulations and ethical standards.
• Assist the Head of Department to create, modify, update and implement the company's policies.
• Support all other matters relating to departmental policies and procedures on an ad hoc basis.
• Ensure all statutory compliance & renewals are attended promptly.
• Any other duties as assigned from time to time by the management.

Requirements:

• Bachelor’s Degree in Law (LLB) from a recognized institution; admission to the Malaysian Bar is an advantage.
• Minimum of 2 years of experience in legal, compliance, regulatory, or related functions; fresh graduates are also encouraged to apply.
• Demonstrated experience in drafting, reviewing, or managing contracts and other legal documentation.
• Solid understanding of Malaysian laws, regulatory frameworks, licensing requirements, and compliance obligations.
• Proactive, resourceful, and capable of working independently with minimal supervision.
• Strong interpersonal and communication skills, with the ability to work cross-functionally.
• Strong legal drafting, analytical, research and problem-solving skills with attention to detail.
• Ability to work independently while being a proactive team player.
• Ability to manage multiple assignments, meet scheduled deadlines, and effectively manage stakeholder expectations within prescribed timelines.
• Proficiency in spoken Mandarin is required, as the role involves liaising with Mandarin-speaking clients.