Legal & Compliance Manager

Primary Responsibilities

To serve as a senior, client-facing Legal & Compliance Manager with overall responsibility for managing and ensuring effective delivery of legal, governance, regulatory and compliance matters within the group.

The role combines advisory leadership with supervisory accountability and appropriate hands-on involvement in execution, depending on business needs. The role carries final accountability for legal and compliance judgments within delegated authority.

The position acts as the primary legal and governance interface for clients and internal stakeholders, ensuring continuity, quality, and regulatory compliance across all legal and compliance deliverables.

Functional Responsibilities

A. Legal & Compliance (LAC)

Legal Advisory, Execution & Oversight

1. Provide senior-level legal advisory to Management, internal teams, and clients on governance, regulatory, and legal risk matters.
2. Lead, prepare, negotiate and/or review business contracts and client's legal and governance documentation, including Family Constitutions, Charters, Deeds of Family Arrangement, Trust-related documents, Wills, Powers of Attorney, MOUs, NDAs, and client engagement agreements.
3. Ensure completion of legal deliverables, whether through direct involvement or supervisory oversight that maintain accuracy, consistency, enforceability and legal robustness in alignment with client's objective and/or the Group's need.

Contract Management & Implementation Support

1. Oversee legal documentation, regulatory compliance and legal risk assessment across Family Office Advisory, Corporate Services, and Operations teams.
2. Advise on legal structuring including cross-border enforceability, and asset-holding structures.
3. Oversee document stamping, notarization, legalization, and custody processes.

External Counsel & Regulatory Liaison

1. Act as the primary liaison with external legal counsel, advisors, and regulators.
2. Review and assess legal opinions and advice obtained from external parties prior to adoption or implementation.
3. Manage escalations and sensitive legal matters where required.

Regulatory Compliance Oversight

1. Oversee Group's compliance with applicable laws, regulations, and guidelines (including SC, BNM, Labuan IBFC, and other relevant authorities).
2. Ensure regulatory filings, licensing renewals, and audit-related submissions are completed accurately and on time.
3. Monitor regulatory developments and assess potential impact on the Group and clients.

Internal Policies, SOPs & Compliance Governance

1. Lead the development, implementation, and periodic review of internal policies and SOPs (including AML/CFT, privacy, conflicts of interest, and governance frameworks).
2. Establish compliance oversight mechanisms and reporting discipline across departments.
3. Escalate material compliance or legal risks to Management with analysis and recommendations.

Client Due Diligence & KYC Governance

1. Oversee client onboarding, KYC/AML reviews, risk classification, and source-of-wealth verification.
2. Ensure documentation integrity, audit readiness, confidentiality, and proper record retention.

B. Advisory & Family Office Governance

Family Governance & Succession Advisory

1. Lead legal and governance advisory for Family Office clients on succession planning, family governance frameworks, and related legal structures.
2. Translate family objectives into practical, legally sound governance arrangements and documentation.

Client-Facing Advisory Leadership

1. Serve as the primary legal and governance advisor to principals, family members, and family councils, with end-to-end ownership of assigned client legal and governance matters from advisory formulation through implementation oversight.
2. Lead and actively participate in Family Council meetings and client discussions involving governance, succession, and compliance matters.
3. Provide clear, balanced advice that integrates legal requirements, governance best practices, and family dynamics.

Advisory Implementation & Cross-Functional Coordination

1. Coordinate with tax advisors, trustees, corporate services teams, and other specialists to ensure cohesive implementation of agreed structures.
2. Oversee follow-through on governance documentation, resolutions, and agreed action items.

C. Departmental Leadership & Supervision

1. Provide supervisory leadership to the Legal & Compliance team, including work allocation, review standards, and quality control.
2. Guide and mentor team members, providing direction and technical review.
3. Participate in performance reviews, recruitment, and team development initiatives in collaboration with Management.
4. Set internal service standards, turnaround times, and escalation protocols for the LAC function.
5. Maintain documentation standards, precedent control, and internal legal knowledge consistency across the department.

Key Performance Indicators (KPIs)

Legal, Compliance & Risk Management

1. Consistent, accuracy, and enforceability of legal and governance documentation delivered.
2. Timely and accurate completion of regulatory filings, renewals, and compliance obligations.
3. Effective identification and escalation of legal and compliance risks.

Advisory & Client Outcomes

1. Effectiveness and quality of governance and succession advisory provided to clients.
2. Demonstrated leadership and preparedness in Family Council and client meetings.
3. Sustained trusted-advisor relationships with clients.

Departmental Leadership & Professional Conduct

1. Consistent service quality and turnaround time adherence within the LAC function.
2. Knowledge transfer, guidance, and supervision provided to team members.
3. Adherence to confidentiality, ethical standards, and professional judgment.

Requirements

1. Bachelor's Degree in Law (LLB) from a recognized institution admission to the Malaysian Bar is an advantage.
2. Minimum 6 years of relevant experience in legal, compliance, or regulatory functions-preferably in financial services, trust services, or family office environments.
3. Sound understanding of Malaysian legal and regulatory frameworks (e.g. SC, BNM, Labuan IBFC), with exposure to international compliance practices.
4. Excellent legal drafting and analytical skills, with the ability to manage complex documents and risk assessments.
5. Good command of Malay and English, both written and spoken.
6. Strong interpersonal and communication skills, with the ability to work cross-functionally.
7. High level of integrity, discretion, and professionalism in handling confidential information.
8. Ability to work independently while being a proactive team player.