LEGAL & COMPLIANCE EXECUTIVE

Job Description

Title: LEGAL & COMPLIANCE EXECUTIVE

Company Name: A.D. Financial Sdn Bhd

Vacancy: 3

Job Location: Selangor

Career Level: Junior Executive

Years Of Experience: 3 years

Qualification: Not Specified

Employment Status: Full-Time

Job Description

(A)  Legal and Compliance Department

-Assist the Head of Department in drafting and vetting various types of internal agreements, external agreements and other relevant written instruments and documents.

-Assist the Head of Department in providing appropriate reporting required by the relevant regulators and the service providers in a timely manner.

-Asist the Head of Department in requesting, compiling, submitting and filing of documents for any new application, renewal/or variation of license of the company and the financial adviser representatives required by the relevant regulators.

-Liaise with the panel lawyers and the relevant regulatory offices.

-Undertake research in respect of legal and compliance matters and to provide appropriate regulatory information required by the internal departments and the management in a timely manner.

·-Support all other matters relating to departmental policies and procedures on an ad hoc basis.

(B)  Advisory Department

Assist the Head of Department and the Principal Consultant on advisory planning for family businesses succession planning and personal & family wealth preservation: -

-Liaise with client/Account holder for data, information, documents & appointments.

-Prepare letter of engagement, terms of business, request legal invoices etc.

-Implement formulation plan by working closely with service providers such as legal advisor, lawyers, BVI, Foundation, Company Secretarial service providers.

(C)  Family Office Department

Assist the Principal Consultant & ensure all the administration work of the Family Office clients are handed timely & promptly:-

- Prepare letter of engagement, terms of business, invoices etc.

-Work closely with service providers to ensure key tasks and services are performed timely & promptly.

-Liaise with client for date, information, documents & appointments.

-Ensure client’s enquiries and queries are handled and resolved promptly.

-Compile & analyze client’s financial net worth and other family wealth information from time to time for presentation to client in Family Council meeting.

-Prepare & plan for periodic Family Council meetings, issuance of agenda and taking minutes of meetings.

-Ensure all statutory compliance & renewals are attended promptly.

Requirement

  • Bachelors in law (LL. B) or equivalent and admitted to the Bar in Malaysia
  • 1 - 3 year(s) of working experience in legal practice and/or as in-house counsel
  • Candidates with exposure to corporate, commercial, capital market, probate, administration of estates and/or regulatory compliance would be highly regarded
  • Strong communication, analytical, drafting and research skills with pleasant personality and good work ethics
  • Good command of English and Bahasa Malaysia
  • Proactive, resourceful, innovative, motivated, and eager to learn. Able to work independently but also a team player

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