Compliance & Legal Officer

Title : Compliance & Legal Officer Department : Legal & Compliance Department Job Description : The Legal and Compliance Department has the main responsibility to provide overall oversight of regulatory compliance as well as provide legal advice and supports to all business functions of the Company. These tasks are to ensure regulatory and legal compliance on every business aspects from the upstream of making business strategies to the downstream of business implementation so as to mitigate risks at the Company’s level as well as the fund’s level. Review and approve marketing materials and client communications prior to publication to ensure regulatory compliance Monitor staff licensing status and ongoing regulatory qualifications Advise business units on regulatory requirements relating to marketing, sales operating systems, and PTCS requirements Perform regular compliance monitoring to ensure alignment with applicable laws, regulations, guidelines, and local regulatory standards Provide legal counsel and support on a broad range of legal matters related to the operations of the Company and the Funds, PDPA including complex or high‑impact matters Review legal documentation (e.g. resolutions, agreements, and related documents) to ensure consistency with applicable laws, regulatory requirements,and Group policies Prepare monthly litigation summary reports for submission to the Head of Department Assist in preparing and submitting documentation related to legal registrations and regulatory filings required for the Company’s business operations Maintain and manage regulatory and legal documentation (e.g. powers of attorney, agreements, registrations, and statutory records) Liaise with external legal counsel and consultants on legal and regulatory matters Coordinate and communicate with government authorities, courts, and regulators as required under applicable laws and regulations. Requirements : Bachelor degree or higher in Law Holding lawyer license is preferred Good command in English At least 1-2 years experiences in fund management or financial company Understanding principle of asset management business or financial industry