Head of Legal and Compliance Asia recruitment
Managerial Tasks (in %: 10):
- Manage Legal Compliance team Asia
Operational Tasks (in %: 90):
- Monitor legal and regulatory developments in the relevant markets and ensure immediate action is taken to implement changes due to such developments
- Establish a robust framework to address the risks stemming from cross-border business including an effective control environment
- Set-up new legal entities in Asia and file necessary licenses with regulators
- Establish and maintain good relationships with relevant regulators
- Establish and oversee a robust monitoring programme for the region
- Ensure compliance with all client guidelines
- Act as corporate secretary to all EFG FP Asia entities
- Take care of all employment and corporate law matters of EFG FP Asia
- Craft or review respectively any type of agreement relating to EFG FP Asia
- Review of any type of marketing material and term sheets to ensure full adherence to legal requirements and best market practice
- Provide advice on special transactions and craft/review corresponding documentation
- Coordinate account opening procedures (AML and KYC etc.) including the drafting of distribution agreements and all other documents specific to Asia clients and independent asset managers
- Act as point of contact with internal and external auditors
- Work on projects
- Create, enforce and review relevant policies and guidelines (including Operational Manuals)
- Perform trainings on Legal Compliance matters
- Follow up on ISDAs with Asian counterparties
Requirements:
- Law degree
- At least 5 years of relevant experience as Legal Counsel and/or Compliance Officer in Asia in the banking industry and/or Asset Management
- Management experience
Key Performance Indicators:
- Good relationship with relevant regulatory authorities
- Receiving licenses applied for in due time
- Reduction of external legal costs
- At least mid level satisfactory audit results
- No material losses from non-compliance with applicable rules and regulations