INDUSTRY: Finance & Investment


  • Legal & Regulatory Compliance
  • Research and Analyse capital market regulatory obligations
  • Deploy Best practices in Capital market Legal and Compliance needs


  • Advise / review / negotiate all agreements signed by the Company as well as advise on legal risks globally
  • Develop and draft Rules and Market Guidelines required to support new products.
  • Avoid legal challenges by understanding current and proposed legislation; enforcing regulations; recommending new procedures; complying with legal requirements
  • Managing the Rules and Disciplinary committees
  • Minimize the Company’s exposure to legal liabilities by ensuring compliance with the requirements of the Investments & Securities Act [ISA], Securities and Exchange Commission [SEC] Rules and Regulations and other statutory and legal requirements and contractual obligation
  • Ensure that relevant statutory books or records are maintained and updated in line with regulatory requirements Coordinate meetings of the Board, Board Committees and Shareholders in conjunction with the Company Secretary.
  • Follow up on Action Points arising from Board, Board Committee and Shareholders’ meetings and assist in the compilation and production of meeting papers.
  • Attend to shareholders’ matters in conjunction with the Company Registrars.
  • Develop policies to ensure that the Company operates in conformity with legal requirement and global best practice
  • Ensure compliance by internal and external stakeholders of Company policies and processes.
  • Ensure that the company and it’s Over the Counter [OTC] market is in good standing with the SEC and other statutory bodies
  • Pre-qualify stockbroking institutions (and their representatives) as well as public companies for registration/admission on the market
  • Establishes compliance operational strategies.
  • Updates job knowledge by participating in educational opportunities; reading professional publications; maintaining personal networks; participating in professional organizations.
  • Enhances compliance and organization reputation by accepting ownership for accomplishing new and different requests; exploring opportunities to add value to job accomplishments.
  • Assist in corporate communication.
  • Ensure compliance with data protection regulations.


  • First degree in Law (LL. B)
  • Professional Legal qualification (BL)
  • Must have at least 8 years’ experience post call
  • Must have worked in a legal department of a Finance Firm, Asset Management Firm or a Law firm.
  • Securities and Exchange (SEC) Sponsorship is an added advantage.

Interested and qualified candidates should please forward their cv to hr@nasdng.com on or before Friday 2nd April.