Legal and Compliance Executive (Brokerage)

Overview

Legal and Compliance Executive (Brokerage) – Doo Group, Kuala Lumpur, Malaysia

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 provides 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!

Looking for a New Challenge? Join Us as We Expand Globally!

As we continue our global business expansion, we’re on the lookout for talented individuals who are motivated to support our strategic goals and initiatives. Join a team that values innovation and growth.

DOO you have what it takes?

What you’ll be working on

• 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

What we’re looking for

What we offer / What’s in it for you

Life as DOOers

At Doo Group, we embrace a culture where continuous growth, collaboration, and creativity are at the heart of everything we do. As a DOOer, you'll collaborate with top professionals from around the globe, dive into exciting projects, and play a pivotal role in shaping the future of finance.

Unlock your potential with Doo Group. Apply now and step into a role where your impact is celebrated!

#DooBeyondLimit #TogetherWeDooMore #SucceedYourCareerWithDoo

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