Post Date : 17 May 2017
OBJECTIVE / PURPOSE OF THE ROLE
- To support the Head of Legal & Regulatory to deliver the business plan in accordance with legal and regulatory requirements.
- To be responsible for providing strategic legal advice to the businesses of the Group and its subsidiaries and ensure daily legal support.
- To be responsible for compliance of the firm with applicable legal and regulatory requirements, including CDD, AML and conduct of business issues.
DUTIES AND RESPONSIBILITIES
- Manage the firms' strategic and legal documentation.
- Act as Company and Executive Management Committee Secretary and monitor overall corporate governance as detailed in the Corporate Governance Framework.
- Participate in negotiating, reviewing and drafting all required business unit agreements.
- Advise business units on contractual issues, regulations and legal provisions.
- Conduct legal due diligence on transactions entered into by the firm, in accordance with industry best practice.
- Provide internal training on legal and regulatory topics for the business to keep abreast of regulatory issues and to enhance individual ownership of risk and fiduciary responsibilities.
- Conduct KYC and DD on clients and business partners.
- Conduct compliance reviews of the firm, identify and flag potential issues and create/implement remedial plans.
- Draft compliance policies of the firm.
- Maintain the filing system and ensure that all compliance and legal documents are updated and available for review on short notice.
REQUIREMENTS AND EXPERIENCE
Reporting to the Head of Legal & Regulatory, we seek a Legal & Regulatory Manager who has:
Direct experience with Legal/Regulatory/Compliance aspects of DFSA authorized financial services institutions (preferably Asset Management and Investment Banking firms). It would be beneficial if the candidate currently is a DFSA authorised Compliance and Money Laundering Reporting Officer.
Direct experience in drafting of the following Documents:
- Policies and Procedures Manuals and Compliance Monitoring Programs;
- Funds documentation;
- Offering Memorandums, Custody Agreements, Administration Agreements;
- Auditor Engagement Agreements, Investment Management Agreements, Investment Advisory Agreements;
- Introducer Agreements, Distribution Agreements, and Placement Agreements;
- Non-Disclosure Agreements;
- Account Opening Agreements (and client take on documentation);
- Employment Agreements
- Direct experience in supporting/organizing appropriate corporate governance work including Board/Director minutes and Board/Director resolutions.
- Excellent spoken and written English skills.
- Three to five years' legal/regulatory/compliance experience in a DFSA authorized firm. Experience in an asset management/investment banking firm will be highly regarded.
Gate Village 1, Level 1