Regional Legal Advisor: Regulatory Strategy and Advisory

1 day ago

Sydney, New South Wales, Australia beBeeRegulatory Full time $100,000 - $160,000
Regulatory Strategy and Advisory Role

The Global Regulatory Team is seeking a Senior Regional Counsel to join their team in Australia. This role will be a primary legal resource on identifying and addressing regulatory issues that may affect the company's operations in Asia and Pacific.

  • Advising on regulatory strategy and risk, including with respect to regulatory matters associated with strategic initiatives and new business line development as well as any potential regulatory violations.
  • Coordinating with Compliance on the management of regulatory compliance responsibilities and consulting with external parties, as appropriate.
  • Serving as one of the company's contacts and negotiators in APAC with regulatory bodies.
  • Advising on the defence and settlement of any regulatory action or other related matters involving any of the company's regulated businesses.
  • Assisting with formal examinations or investigations by a regulator, regulatory registrations, and written submissions in response to consultations from regulators in APAC, as necessary.
  • Running internal investigations, and assisting Compliance with the development and implementation of policies, guidelines and other documents pertaining to regulatory requirements applicable to the company's regulated businesses in APAC, as necessary.
  • Developing and implementing the training framework to build a high performing regulatory legal team that can support the company's regulated businesses as they continue to grow.
Key Responsibilities

The Senior Regional Counsel will be responsible for:

  1. Providing guidance on regulatory matters and ensuring compliance with relevant laws and regulations.
  2. Collaborating with stakeholders to develop and implement effective regulatory strategies.
  3. Identifying and mitigating regulatory risks, and developing plans to address them.
  4. Building relationships with regulatory bodies and representing the company's interests in APAC.
  5. Staying up-to-date with changes in regulations and regulatory requirements, and providing recommendations for improvement.
Requirements

To be successful in this role, you will need:

  • A law degree and qualified to practice in Australia.
  • At least 8 years of financial services or securities law experience in Australia or other APAC jurisdiction.
  • Financial services compliance/regulatory experience is required.
  • Substantive familiarity with ASIC requirements is required.
  • Structured finance transactional experience or experience in dealing with regulatory bodies in the Asia-Pacific region is an advantage.
  • In-house experience working for a regulated entity is preferred.
  • Investment advisor, research or asset management regulatory experience is beneficial.
  • Leadership skills and the ability to influence.
  • Integrity and a high degree of professional ethics.
  • Excellent judgement and analytical skills.
  • Strong interpersonal and communication skills, including excellent drafting.

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