LEGAL AND COMPLIANCE ASSISTANT MANAGER

Key Responsibilities:

• Continuously and periodically monitor compliance based on the Compliance Loss Reduction Plan to ensure adherence to internal regulations, policies, and guidelines. Identify and address noncompliance or violations, and suggest corrective actions for company departments.
• Handle daily investment monitoring and compliance reporting, coordinate with the Group to update new or revised rules, review compliance tracking daily, notify stakeholders of potential breaches, and track and report deviations.
• Promote a strong culture of compliance throughout the organization.
• Assist the Head of Department in monitoring and reporting on risk management issues.
• Provide legal support to various departments, including reviewing documents and offering legal advice.
• Assist the Head of Department in preparing reports for clients, regulatory authorities, and Headquarters, coordinate audits and inspections, and deliver compliance training to employees.
• Other tasks as assigned

JOB REQUIREMENTS

• Bachelor of Laws
• At least 5 years of experience in the legal field, preferably within a multinational financial services company.
• Excellent influencing skills with the ability to engage and earn respect from colleagues.
• Strong analytical and problem-solving abilities.
• Capable of working both independently and collaboratively, as well as effectively with diverse groups of highly qualified legal and policy experts

Our client offers a competitive salary and benefits package, along with opportunities for career growth and development. As part of a dynamic and inclusive work environment, you will have the chance to make a meaningful impact and opportunities for professional growth.

If you are interested in this exciting opportunity, please reach out to our consultant Krystal Tran (krystal.tran@cakeresume.com)