Legal and Compliance Officer - Structured Products Legal and Compliance Officer - Structured Products …

Leonteq Securities (Singapore) Pte Ltd
in Singapore
Permanent, Full time
Last application, 01 May 21
competitive
Leonteq Securities (Singapore) Pte Ltd
in Singapore
Permanent, Full time
Last application, 01 May 21
competitive
Reporting to the Head of Legal & Compliance, Asia, the successful candidate will be responsible for providing support to (1) the Head of the Legal and Compliance, Asia in carrying out the legal function of the Company and its Asian affiliate(s); and (2) the Compliance Manager in carrying out the compliance function, licensing and regulatory related matters for the business in the regulated activities of dealing (both primary and secondary) and advising on structured products and over-the-counter derivative products by the Company, so as to ensure compliance with local laws, and regulatory and internal requirements

The main responsibilities of the position will include providing assistance and support in respect of the following:

Legal

  • rendering legal advice and assistance to management and business on or in respect to the businesses, licenses and operations of the Company and its Asian affiliate(s)
  • drafting and reviewing agreements, contracts, legal documents and correspondences with or involving the business, products and services, and clients, counter-parties, regulators, third party system, equipment information vendors and other service providers, of the Company and/or its Asian affiliate(s), and affiliated member companies, branches and offices of the Leonteq AG Group
  • preparing instructions for and obtaining, where necessary and appropriate, external legal advice for the Company and/or its Asian affiliate(s)
  • providing legal advice on any enquiries, inspections, actions, investigations, or claims, disputes and litigation, made or brought by any licensing or regulatory authorities, clients, employees and other third parties of or involving the Company and/or its Asian affiliate(s)

 

Compliance

  • liaising with the local regulator (MAS) on licensing, registration, new business or products, notifications and compliance matters, handling regulatory inspections and enquiries, and managing relationships with relevant regulator(s)
  • providing advisory services and guidance to the business team(s) and management in Singapore on licensing, regulatory controls and compliance issues for and relating to the dealing in products, including the review and approving of, and giving of advice on existing and new product offerings and on regulatory requirements/changes that may affect business operations
  • client on-boarding, such as account opening as well as periodic reviews, know-your-client, client due diligence and suitability, in line with local laws, regulatory and internal policies and requirements
  • establishing and maintaining appropriate compliance monitoring programs (including the conduct of regular compliance monitoring and reviews)
  • monitoring the regulated business activities of product marketing, offering, distribution and sales practices, including conduct of cross border activities in the region
  • review of marketing materials and other sales documents, and client transactions
  • conduct monitoring for, and reporting of any, money-laundering, bribery and corruption and other suspicious transactions
  • monitoring the conduct of employees, including staff personal account dealing, gifts and entertainment  and disclosure of conflict of interests, in line with internal business and codes of conduct
  • handling any client complaints, claims, disputes and enquiries
  • implementing, maintaining and reviewing compliance policies and procedures
  • conducting individual and corporate licensing applications, renewal, and (where required) notifications
  • record keeping and maintenance of licensing, conflicts of interest and complaints registers
  • preparing regular compliance monitoring reports
  • handling internal and external inspections, audits, investigations or reviews, including by internal and external auditor(s) and local and head office regulator(s) 
  • conducting (where required) initial and ongoing compliance training to staff members and business units so as to promote awareness of internal and external laws and regulatory requirements; and
  • to assist in ad-hoc projects/ tasks relating to regulatory/ compliance requirements upon request

 

OUR REQUIREMENTS:

  • must be a holder of a law degree or equivalent diploma from a recognized university or institution
  • Should preferably have up to 3-5 years’ post qualification legal experience in private practice, preferably with a mid or top tier law firm and in structured products, securities, finance or general commercial law
  • some prior experience as an in-house legal counsel, compliance or related role(s), preferably in private banking, wealth management or broker/dealer and/or with a regulatory body would be preferred but not essential
  • good knowledge and understanding of relevant Singapore securities laws and regulations, and knowledge of/ familiarity of and with the issue, distribution (including cross border in the Asia region) and management of structured products would be a strong advantage
  • good legal drafting, analytical and problem solving skills
  • hardworking, and able to work  efficiently in a team
  • ability to work independently under pressure and in meeting deadlines
  • good command of written and spoken English essential
  • good communication and interpersonal skills

 

To apply, please email your resume (in word format), together with current and expected salary, to richard.wu@leonteq.com. For more information, please contact Mr. Richard Wu at +65 6990 5250.

 

 

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