Job Description
Our Client is a licensed crypto market making and fund management company. They are looking for a Senior Legal & Compliance Officer. The incumbent will lead all legal and compliance functions to ensure the company operates within the frameworks of international financial regulations, crypto licensing requirements, and stakeholder expectations.【Responsibilities】1. Legal Advisory & Contract Management- Draft, review, and negotiate a wide range of agreements, including service-level agreements, liquidity provider contracts, non-disclosure agreements, and banking documentation.- Provide clear, actionable legal advice to management and business units on matters relating to trading activities, fund structures, IP rights, and cross-border transactions.- Monitor and maintain contract lifecycle management, ensuring timely renewals and compliance with agreed terms.- Handle legal disputes or potential claims, coordinating with external counsel where necessary.2. Regulatory Compliance & Corporate Governance- Lead compliance with relevant FSA licensing conditions and other jurisdictional requirements affecting crypto market making and fund activities.- Develop, implement, and regularly update compliance policies, including AML/KYC/CFT, data protection, and anti-bribery frameworks.- Conduct compliance risk assessments and ensure remediation of any gaps or deficiencies.- Prepare and file mandatory reports, renewals, and disclosures to regulators.- Support the board and senior management in understanding their legal and fiduciary responsibilities.3. Onboarding & Counterparty Due Diligence- Oversee onboarding compliance for counterparties, investors, and business partners.- Review and verify KYC/AML documentation for exchanges, banks, and trading partners.- Ensure internal processes align with international standards for risk-based due diligence.4. Banking, Stakeholder, and Regulator Relations- Act as the main point of contact for banks regarding account openings, compliance reviews, and ongoing monitoring requirements.- Liaise with external stakeholders, including regulators, auditors, and institutional partners, to address legal and compliance matters.- Maintain productive relationships with external counsel in relevant jurisdictions.5. Risk Management & Strategic Guidance- Identify, assess, and manage legal and compliance risks associated with new products, partnerships, and jurisdictions.- Provide strategic input to senior leadership on regulatory developments impacting crypto trading and fund operations.- Advise on risk mitigation strategies for proprietary trading and fund structures.6. Policy Development & Internal Training- Establish and maintain a robust compliance monitoring framework.- Deliver regular compliance and legal training to employees to promote a culture of integrity and accountability.- Develop clear guidelines for employees on reporting obligations, conflicts of interest, and ethical business practices.7. Audit & Reporting- Conduct periodic internal audits to evaluate the effectiveness of compliance policies and controls.- Report findings to senior management and recommend corrective actions.- Prepare detailed compliance and legal risk reports for board meetings or investor updates.
