FS Regulatory Counsel - Financial Institution - Singapore
- Recruiter
- Taylor Root
- Location
- Singapore
- Posted
- 01 Dec 2015
- Closes
- 29 Dec 2015
- Ref
- JP202891
- Contact
- Jeremy Poh
- Vacancy Type
- Solicitors, In-House
- Contract
- Permanent
- Hours
- Full Time
- Practice Areas
- Banking/Finance, Regulatory/Compliance, Funds, Fund Asset Management, Regulatory/Compliance (except Banking/Finance)
- PQE
- 4-6 Years
- Experience Level
- Mid Level
Scope of role/responsibilities:
- Advise and guide the compliance team on interpretation of investment restrictions and requirements across various jurisdictions (substantial shareholding; short sell restrictions; placement and various exchange rules; derivatives trading requirements etc.); and on regulatory requirements arising from registration and licensing with MAS, SFC, FCA, SEC and CFTC, including preparation and update of various business manuals, policies and procedures
- Review and update fund offering documentation (PPMs, subscription and redemption documentation) and negotiation of side letters with investors
- Review of marketing material - e.g., presentations, factsheets, newsletters, and investor due diligence questionnaires
- Advise on ad hoc general corporate matters/regulatory developments (e.g., privacy law; cybersecurity; and anti-corruption) as well as implementing new strategic initiatives
Requirements:
- Prior in-house experience gained on the trading floor would be a bonus
- Familiarity with asset/fund management industry in Asia
- Lawyers who have gained experience from a markets perspective will also have a strong advantage
To comply with local laws, our Singapore office EA Licence No is: 12C6222.
Please note our advertisements use PQE/salary levels purely as a guide. However we are happy to consider applications from all candidates who are able to demonstrate the skills necessary to fulfil the role.