Expert Legal Advisor: Regulatory Strategy and Compliance

3 days ago

Sydney, New South Wales, Australia beBeeRegulatory Full time $100,000 - $160,000
Job Overview

The role of Senior Regional Counsel, Regulatory Strategy and Advisory is a key position in identifying and addressing regulatory issues that may affect operations in Asia and Pacific.

Key Responsibilities
  • Advising on regulatory strategy and risk, including with respect to matters associated with strategic initiatives and new business line development as well as any potential regulatory violations.
  • Consulting with Compliance on the management of regulatory compliance responsibilities and consulting with external parties, as appropriate.
  • Serving as one of Morningstar's contacts and negotiators in APAC with regulatory bodies.
  • Advising on the defence and settlement of any regulatory action or other related matters involving 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 regulated businesses in APAC, as necessary.
  • Developing and implementing a training framework to build a high performing regulatory legal team that can support regulated businesses as they continue to grow.
  • Staying current on regulations and other changes in regulatory requirements that could impact businesses.
Qualifications
  • 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
  • Substantial 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
  • Must be admitted to practice law or eligible for admission to practice as in-house counsel in the jurisdiction where located
  • Leadership skills and ability to influence
  • Integrity and a high degree of professional ethics
  • Excellent judgement and analytical skills
  • Strong interpersonal and communication skills, including excellent clear drafting
  • Ability to work efficiently and independently, prioritize workflow, and meet deadlines.

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