Key Responsibilities
• Managing all local legal and regulatory matters (corporate, commercial, intellectual property, labor, litigation, etc.), compliance matters, corporate transactions, corporate secretarial issues, and regulatory affairs.
• Investigating and responding to complaints or matters of potential violations of law, regulation or policies or procedures. Evaluating and, as appropriate, responding to alleged violations of rules, regulations, policies, procedures, and standards of conduct.
• Developing, implementing, and administering the internal Legal and Compliance function to meet the requirements and expectation of local laws, regulators and global best practices with a focus on measures to ensure the independence of the rating service (including but not limited to implementing policies and controls related to management of conflict of interest and handling confidential information).
• Leading the preparation of regulatory reports.
• Conducting appropriate continuing legal and compliance training program for employees and establishing controls to verify completion and full understanding of such training.
• Developing policies, controls and procedures to implement, review and monitor the adherence to legal and compliance codes, guidelines, policies and procedures based on local requirements and global best practices such as the IOSCO CRA Code.
• Overseeing relationships with regulatory authorities, managing the regulatory affairs and advising on advocacy efforts, if required, for Company.
• Managing corporate secretarial function. Preparing Board materials and General Shareholders’ Meeting materials, updating Company charters, monitoring corporate governance developments to meet the Board’s needs and shareholders’ expectations, maintaining and updating key corporate documents and records of Company (CRA license, ERC, IRC, share certificate, shareholder’s book, shareholders’ agreement etc.),
• Drafting, reviewing and negotiating contracts (commercial, vendor, confidentiality agreement, authorization, employment, other terms and conditions).
• Functioning as the subject matter expert and providing advice on legal and compliance related matters for the Board, management team and all business lines.
and facilitating the onboarding of new members of the Board, if required.
• Maintaining working relationship with legal and compliance team of Moody’s for information or views or certain resources from Moody’s for the sole purpose of Company developing its own internal control policies and procedures.
• Managing and providing leadership, direction and support for all regulatory reviews and examinations.
• Travel as required.
• Maintaining measures in mitigating legal and compliance risk for Company.
• Maintaining up to date knowledge of applicable law, industry regulator landscape and trends to ensure capability and provide visibility to the Board and the management team.
• Managing and liaising with external counsel, as necessary.
• Assisting with similar or other compliance and legal matters that may come up from time to time.
