Regulatory Advisor

2 weeks ago

Singapore Pinsent Masons Full time

Purpose of the role:


The role of Regulatory Adviser is to protect the firm by minimising the risks associated with our day to day business, offering support and guidance to lawyers and educating them in relation to best practice risk management throughout our business.


The is a dual role which will primarily focus on ensuring that the firm is able to comply with its legal and regulatory obligations in respect of conflicts (legal and commercial) and AML/KYC and compliance with internal AML policies.

The role will be to support our colleagues in our Asia Pac offices

This will involve understanding:

  • PM's legal and professional obligations in managing conflicts of interest in the jurisdictions where we operate and guiding junior team members.
- the firm's strategy, client base and markets (in particular in Asia Pac) and the work we do for our clients in Asia Pac.
- the legal and regulatory AML framework in the jurisdictions where we operate and guiding junior team members to obtain the necessary documentation either through publicly available sources and/or through our fee-earning community who will liaise with their clients. From time to time there may be requirements to liaise with clients direct.
- good working knowledge of working through sanctions issues.


The focus on conflict checks and AML/KYC relates to the on-boarding of new clients, existing matters for existing clients, receipt of monies into our client accounts and the monitoring of risk throughout the life of a matter.


The focus will also be on providing support to colleagues in Asia Pac but also where appropriate supporting colleagues in the rest of the firm.

You will be aligned to our Regulatory function working closely with:

  • the Global New Business Solutions Team (responsible for new on-boarding new business)
- our Head of Regulatory and the wider AML team
- our International Conflicts Counsel and the wider conflicts team sitting in the General Counsel Office.


You will be part of a team of over 50 based largely in the UK who have responsibility for risk and regulatory compliance throughout the 14 jurisdictions that Pinsent Masons operates through its 25 offices.

Currently we have four Global New Business Solutions members based in Asia Pac - two in Melbourne and two in Singapore,

Main Duties and Responsibilities:

- assisting with conflict checks and AML checks - either standalone or through our New Business Intake system
- acting as the point of escalation for the Global New Business Solutions Team in Asia Pac
- liaising with the fee earning community in resect of conflict checks and AML
- liaising with the Conflicts Team and the Regulatory Team in respect of conflict checks and AML
- audits with regulatory authorities and implementing recommendations and any mandatory measures
- overview of regulatory compliance for international offices
- ad hoc projects
- responding to general risk queries from the business
- supervision of junior team members as appropriate
- other responsibilities will be added over time as the role develops and as business needs require

Relevant experience/qualifications:

  • Experienced in dealing with conflict management
  • Experienced AML professional
  • Experience of working in a professional services business, ideally an international law firm
  • Good commercial knowledge of the Asia Pac market is a preference

Key skills and abilities:

  • Excellent communication skills, both written and oral
  • Proven ability to establish and maintain a high degree of confidentiality, respect, trust and credibility at all levels
  • Ability to take responsibility and act autonomously and with initiative
  • Ability to plan, organise and prioritise tasks and projects
  • Ability to solve problems creatively and effectively
  • Negotiation and influencing skills
  • Strong team player
  • Ability to remain calm, controlled and resilient in a stressful and pressurised environment
  • Enthusiastic and proactive
  • Strong IT skills

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