Title :

Compliance & Legal Officer

Department :

Legal & Compliance Department

Job Description :

The Legal and Compliance Department has the main responsibility to provide overall oversight of regulatory compliance as well as provide legal advice and supports to all business functions of the Company. These tasks are to ensure regulatory and legal compliance on every business aspects from the upstream of making business strategies to the downstream of business implementation so as to mitigate risks at the Company's level as well as the fund's level.

Review and approve marketing materials and client communications prior to publication to ensure regulatory compliance

Monitor staff licensing status and ongoing regulatory qualifications

Advise business units on regulatory requirements relating to marketing, sales operating systems, and PTCS requirements

Perform regular compliance monitoring to ensure alignment with applicable laws, regulations, guidelines, and local regulatory standards

Provide legal counsel and support on a broad range of legal matters related to the operations of the Company and the Funds, PDPA including complex or

high‑impact matters

Review legal documentation (e.g. resolutions, agreements, and related documents) to ensure consistency with applicable laws, regulatory requirements,and Group policies

Prepare monthly litigation summary reports for submission to the Head of Department

Assist in preparing and submitting documentation related to legal registrations and regulatory filings required for the Company's business operations

Maintain and manage regulatory and legal documentation (e.g. powers of attorney, agreements, registrations, and statutory records)

Liaise with external legal counsel and consultants on legal and regulatory matters

Coordinate and communicate with government authorities, courts, and regulators as required under applicable laws and regulations.

Requirements :

Bachelor degree or higher in Law

Holding lawyer license is preferred

Good command in English

At least 1-2 years experiences in fund management or financial company

Understanding principle of asset management business or financial industry