Legal and Compliance Officer

Job Descriptions

• Develop, implement, and maintain comprehensive compliance frameworks in line with the Securities and Exchange Commission and other regulatory requirements, ensuring all activities align with industry regulations, policies, and ethical standards.
• Oversee the preparation, submission, and accuracy of all regulatory filings while ensuring timely submissions.
• Monitor and manage compliance risks, developing strategic solutions to mitigate regulatory exposures.
• Serve as the primary liaison for regulatory bodies, including facilitating the Securities and Exchange Commission inspections, audits, and maintaining cordial relationships with regulators such as the Financial Reporting Council, and others.
• Provide legal advisory support to ensure compliance with fund management agreements, client mandates, and industry best practices.
• Conduct internal compliance training to foster a culture of accountability, awareness, and adherence to statutory regulations.
• Coordinate the drafting, periodic reviews, and updates of compliance-related policies such as the Compliance Manual, Anti-Money Laundering policies, and Complaint Management Policy.
• Conduct regulatory watch, review proposed laws and regulations, and advise on their impact on the Group’s operations.
• Facilitate the registration and maintenance of an adequate number of SEC Sponsored Individuals for each company in the Group.
• Proactively address and resolve identified regulatory breaches or infractions to ensure zero penalties or infractions.
• Plan and coordinate periodic compliance audits and training sessions as required by law.
• Assist in drafting, reviewing, and vetting legal and commercial documentation, providing legal support across all units.
• Prepare compliance reports and circulate updates on relevant regulatory changes to all units.
• Ensure compliance with Know Your Customer (KYC) policies and manage customer complaints in adherence to SEC Rules on Complaint Management.
• Act as a trusted advisor, offering business advisory services on day-to-day compliance matters and supporting management on strategic fund governance decisions.