Senior Legal and Compliance Executive (Brokerage)

Senior Legal and Compliance Executive (Brokerage)

Doo Group is a global financial services group with FinTech as its core. With our 10 major business lines, spanning Brokerage, Wealth Management, Property, Payment & Exchange, FinTech, Financial Education, Health Care, Consulting, Cloud, and Digital Marketing, Doo Group has seamlessly provided clients with comprehensive products and services across the world. Through a one-stop approach, Doo Group remains committed to helping our clients achieve an ideal financial life while moving towards a better future together!

What's in it for you:

• Seeking to expand your regional work experience? Work alongside industry-leading professionals from around the globe in an environment filled with opportunities for continuous learning and growth.
• We value your wellbeing - You'll find it here along with our comprehensive medical, dental, optical, and wellness benefits.
• We appreciate your contributions with a 13th-month salary and performance bonus.
• We reward our best employees with quarterly employee recognition awards in USD.
• Feeling drowsy after lunch? Take advantage of our smart pantry access and weekly tea break/lucky draw.

Responsibilities may include (but are not limited to):

• Draft and review company policies and procedures to ensure compliance with all relevant regulations.
• Draft and review various agreements (e.g., client agreements, introducing broker agreements, service provider agreement, distribution agreement, lease agreement).
• Update the legal and compliance framework tailored to the brokerage industry, ensuring adherence to all AML/CTF laws, KYC requirements, and other regulatory obligations.
• Conduct legal due diligence on counterparties, business partners, and new product offerings to ensure compliance with brokerage regulations.
• Research laws and regulations related to brokerage services, including cross-border licensing, trading activities, and AML/CTF compliance, to ensure that the company’s operations align with regulatory requirements.
• Liaise with regulatory authorities and corporate service providers on matters related to the company’s brokerage licenses and ongoing compliance obligations.
• Provide legal advisory and support on regulatory matters, legal disputes, internal investigations, compliance audits, and any other legal issues that may arise.

Requirements:

• Bachelor’s degree in Law or equivalent qualification.
• 1-4 years of experience as a practicing lawyer or in a legal/compliance role, preferably within the brokerage industry (experience in brokerage operations is a plus).
• Preferably with knowledge of AML/CTF regulations, including familiarity with KYC/CDD, transaction monitoring, and reporting obligations relevant to brokerage activities.
• Experience in corporate legal drafting and contract negotiations.
• Proficiency in English and Mandarin (reading, speaking, and writing) to liaise with HK & CN counterparts.
• Strong analytical and problem-solving skills with superior attention to detail.
• Ability to adapt to a fast-paced and evolving regulatory environment.