Head of Legal & Compliance plays a vital role in providing strategic leadership in the management of legal, regulatory compliance and AML risks, and is also instrumental in the shaping and accomplishing business goals and strategies.
The role reports to the CEO and the Chief Legal and Compliance Officer.
Major Responsibilities:
Lead and manage Legal and Compliance team.
Provide legal advice to all departments of the company and manage relationships with external legal counsels where applicable.
Support the senior management on legal matters relating to fund and investment structures.
Monitor and manage the company's compliance with regulatory requirements under applicable laws and regulations as well as internal policies and procedures.
Serve as the primary interface between the company and key regulators on compliance risk management issues.
Ensure prompt identification of applicable laws, regulations and requirements, impact assessment and implementation of appropriate controls.
Conduct training and promote a culture of compliance where employees understand the importance of compliance.
Conduct compliance risk assessments - working with internal auditors and senior management to help identify, assess compliance risks, and develop, report, and monitor mitigation actions.
Draft and review transactional documents, fund documents, client agreements, corporate documents, corporate certificates, and other legal documents related to capital market transactions and fund operations, and monitor their ongoing legal obligations.
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