We are seeking a highly motivated and detail-oriented Legal & Risks Management Manager with strong expertise in legal, operational and regulatory risk management. This role will be responsible for identifying, assessing, and mitigating risks that could impact the firm's ability to operate effectively from legal, operations, outsourcing, compliance, and business continuity.
The successful candidate will also play a critical role in ensuring the firm navigates multi-jurisdictional regulations effectively, safeguarding against operational, legal, and compliance risks that arise from cross-border trading and investment activities.
Responsibilities
- Establish and maintain the company's legal and operational risk management framework.
- Review company contracts and consolidate applicable laws and regulations to manage compliance risks related to business operations and investments.
- Develop, implement, and maintain the firm's operational and regulatory risk control.
- Identify and monitor risks associated with investment activities across global jurisdictions.
- Track and interpret evolving regulations from authorities such as MAS, SEC, FCA, SFC, CSRC, and FSA Japan, ensuring timely compliance.
- Assess risks linked to ownership thresholds, disclosure obligations, foreign investment restrictions, and reporting requirements across different countries.
- Liaise with regulators, auditors, custodians, brokers, and fund administrators to ensure compliance with cross-border filings and disclosures.
- Evaluate and oversee risks related to outsourcing, IT systems, data security, and business continuity.
- Design risk monitoring tools and key risk indicators (KRIs) for both operational and regulatory risks.
- Provide regular risk reports to senior management, highlighting emerging risks in international markets and regulatory developments.
- Promote a strong risk awareness culture by delivering training on global compliance obligations to internal teams.
- Monitor all business functions to ensure compliance with applicable laws, regulations, investment guidelines, restrictions, and internal policies.
- Review and prepare agreements related to fund operations, LFMC documentation, and board resolutions to ensure regulatory and corporate governance compliance.
Qualifications
- 5+ years of operation risk management experience in financial institutions.
- Strong knowledge of regional and global regulatory requirements.
- Proven ability to provide business-focused compliance advice.
- Strong Analytical Skills.
- Professional working proficiency in Mandarin a plus.
- Background in Finance or related field.
- Attention to detail and ability to work independently.
- Relevant certifications in compliance or related areas are a plus.
- Candidates with a legal academic background are preferred.
- Bachelor's degree in finance, Law, Business Administration, or related field.
