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Legal and Compliance Executive (Brokerage)

Legal and Compliance Executive (Brokerage)

Doo GroupKuala Lumpur, Kuala Lumpur, Malaysia
30+ hari lalu
Penerangan pekerjaan

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

  • 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

    • What we offer / 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 monthly tea break / lucky draw.

    • 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

    #J-18808-Ljbffr

    Buat amaran kerja untuk carian ini

    Executive Compliance • Kuala Lumpur, Kuala Lumpur, Malaysia