Senior Legal and Compliance Executive (Brokerage)

Doo Group; Kuala Lumpur; On-site; USD 30,000 - 70,000; Full time

Job summary

This innovative firm is seeking a Senior Legal and Compliance Executive to join its dynamic team. In this role, you will draft and review policies, ensuring compliance with regulations while conducting legal due diligence on various agreements. You will collaborate with regulatory authorities and provide legal support on compliance audits and disputes. The company offers a vibrant work environment with opportunities for growth, comprehensive benefits, and a performance-based bonus structure. If you are passionate about legal compliance in the financial sector and thrive in a fast-paced environment, this is the opportunity for you!

Benefits

Comprehensive medical benefits

Dental benefits

Optical benefits

Wellness benefits

13th-month salary

Performance bonus

Quarterly employee recognition awards

Smart pantry access

Weekly tea breaks

Lucky draws

Qualifications

• 1-4 years of experience in legal/compliance, preferably in brokerage.
• Strong analytical skills and attention to detail are essential.

Responsibilities

• Draft and review company policies for compliance with regulations.
• Conduct legal due diligence and research on brokerage services.
• Provide legal advisory on regulatory matters and compliance audits.

Skills

Analytical Skills

Problem-Solving Skills

Legal Drafting

Contract Negotiation

Knowledge of AML/CTF Regulations

Proficiency in English

Proficiency in Mandarin

Education

Bachelor's degree in Law

Job description

Senior Legal and Compliance Executive (Brokerage)

Doo Group is a global financial services group with FinTech as its core. With our 10 major business lines, spanning Brokerage, Wealth Management, Property, Payment & Exchange, FinTech, Financial Education, Health Care, Consulting, Cloud, and Digital Marketing, Doo Group has seamlessly provided clients with comprehensive products and services across the world. Through a one-stop approach, Doo Group remains committed to helping our clients achieve an ideal financial life while moving towards a better future together!

What's in it for you:

• Seeking to expand your regional work experience? Work alongside industry-leading professionals from around the globe in an environment filled with opportunities for continuous learning and growth.
• We value your wellbeing - You'll find it here along with our comprehensive medical, dental, optical, and wellness benefits.
• We appreciate your contributions with a 13th-month salary and performance bonus.
• We reward our best employees with quarterly employee recognition awards in USD.
• Feeling drowsy after lunch? Take advantage of our smart pantry access and weekly tea break/lucky draw.

Responsibilities may include (but are not limited to):

• Draft and review company policies and procedures to ensure compliance with all relevant regulations.
• Draft and review various agreements (e.g., client agreements, introducing broker agreements, service provider agreement, distribution agreement, lease agreement).
• Update the legal and compliance framework tailored to the brokerage industry, ensuring adherence to all AML/CTF laws, KYC requirements, and other regulatory obligations.
• Conduct legal due diligence on counterparties, business partners, and new product offerings to ensure compliance with brokerage regulations.
• Research laws and regulations related to brokerage services, including cross-border licensing, trading activities, and AML/CTF compliance, to ensure that the company’s operations align with regulatory requirements.
• Liaise with regulatory authorities and corporate service providers on matters related to the company’s brokerage licenses and ongoing compliance obligations.
• Provide legal advisory and support on regulatory matters, legal disputes, internal investigations, compliance audits, and any other legal issues that may arise.

Requirements:

• Bachelor’s degree in Law or equivalent qualification.
• 1-4 years of experience as a practicing lawyer or in a legal/compliance role, preferably within the brokerage industry (experience in brokerage operations is a plus).
• Preferably with knowledge of AML/CTF regulations, including familiarity with KYC/CDD, transaction monitoring, and reporting obligations relevant to brokerage activities.
• Experience in corporate legal drafting and contract negotiations.
• Proficiency in English and Mandarin (reading, speaking, and writing) to liaise with HK & CN counterparts.
• Strong analytical and problem-solving skills with superior attention to detail.
• Ability to adapt to a fast-paced and evolving regulatory environment.