Legal and Compliance Manager
Establish new legal operations and lead compliance excellence.
About APEX
APEX is a pioneering investment firm with a strong foothold in sports, media, and entertainment. Our mission is to transform athletes into influential entrepreneurs and capitalize on cutting-edge technology and premier sports assets.
Role Overview
As the Legal and Compliance Manager, you will play a critical role in ensuring APEX adheres to all applicable regulatory frameworks, with a particular focus on Portuguese and international frameworks.
Key Responsibilities:
* Regulatory Compliance & Oversight: Ensure full compliance with Portuguese financial regulations, including CMVM guidelines, and international best practices.
* Develop and implement policies and procedures to support compliance with Regulamento da CMVM n.° 7/2023.
* Monitor changes in regulatory frameworks and assess their impact on APEX's operations.
* Liaise with regulators, legal advisors, and auditors to address compliance-related inquiries and audits.
* Oversee the preparation and submission of regulatory filings and reports.
Legal Advisory:
* Provide legal guidance on investment structures, contracts, and regulatory requirements.
* Ensure company activities align with financial services and investment laws.
* Assist in reviewing and negotiating agreements related to fund management and investment operations.
Risk Management:
* Develop and maintain a robust risk management framework in line with legal and compliance obligations.
* Conduct internal audits and compliance assessments to identify potential risks and recommend mitigation strategies.
* Lead the resolution of compliance-related incidents and regulatory breaches.
Internal Collaboration & Training:
* Collaborate with internal teams to ensure compliance is embedded into APEX's operational processes.
* Provide training to employees on regulatory obligations, ethical business conduct, and compliance best practices.
* Act as a key compliance advisor to senior leadership on strategic initiatives and expansion plans.
Requirements:
* Bachelor's or Master's degree in Law, Finance, or a related field (legal background preferred).
* In-depth knowledge of Portuguese financial regulations, including CMVM asset management regulations.
* Proven experience in a compliance role within the financial services, investment, or asset management industry.
* Familiarity with regulatory bodies such as CMVM, AML/KYC frameworks, and international compliance standards.
* Excellent analytical, problem-solving, and decision-making skills.
* Strong communication and interpersonal skills with the ability to engage with stakeholders at all levels.
* Fluency in Portuguese and English is required.