Careers New York

Currently open positions.

Careers London

Legal, Compliance and Risk Officer

Purpose of the Role:

  • Provide day-to-day guidance and support to the business to identify, assess and govern operating andcompliance risk.
  • Assess the risk of the business for existing products and help risk assess the new products.
  • Identify opportunities and develop business case.
  • Provide compliance oversight, management and reporting to the Co-Presidents.
  • Create compliance and risk policies and procedures for all departments to ensure all processes meet regulatory standards and to allow for the assessment and management of operating and compliance risk across the business.
  • Ensure compliance principles, policies and procedures as well as regulatory developments are clearly communicated to all relevant staff
  • Make sure compliance requirements and regulatory frameworks are reflected in the company products including software and web platforms. Cooperate with IT to make sure the company’s products stay ahead of the curve.
  • Work closely with the business to ensure the strategic and operating requirements of the company are in sync with compliance principles and regulatory frameworks.
  • Review and keep up to date with changes in regulatory, legislative and market practices that impact the company.
  • Support business functions to put in place control mechanisms and environments to allow for the detection of internal or external errors or deviation from contractual obligations in day to day activities.
  • Take responsibility for and perform specific legal, compliance and risk projects and tasks as required.
  • Support the Co-Presidents as and when required on specific activities and projects.
  • Act as "Trusted Advisor" to the business.

Skill or knowledge required:

  • Master of Laws / LL.M. or equivalent required.
  • At least 5 years of experience working in the financial services industry required.
  • Knowledge of cross-border capital markets and tax, bank regulatory and compliance requirements, and KYC/AML laws and regulations required.
  • Knowledge of withholding tax on securities and understanding of custody back office and relevant business & computer systems will be considered an advantage.
  • Exceptional reasoning and analytical skills.
  • Ability to work proactively with other departments and business partners.
  • Excellent organizational skills with the ability to lead projects including planning, execution, tracking and communication. Ability to assist in planning in the short, medium and long-term business environments.
  • Strong risk assessment, analytical, decision making, interpersonal, presentation, and written/verbal communication skills.
  • Proven ability to prioritise conflicting work loads of both the team and their own workload.
  • To work independently as well as to be a team player.
  • To identify opportunities for improvement and plan and manage their introduction.
  • Excellent written and verbal communication skills in English, including client communication and ability to mark up legal/procedural documents. Other languages are a large plus.


Fixed salary, with excellent prospects + annual performance based incentive.

To apply:

Send your CV and a motivation letter to