DEPARTMENT: LEGAL & COMPLIANCE

JOB GRADE: INVESTMENT ANALYST

PROCESS UNIT

  • Business Planning
  • Legal & regulatory Compliance
  • Legal Research & Analysis
  • SLA Performance monitoring
  • Relationship Management
  • JOB OBJECTIVE(S)

  • Legal & regulatory Compliance
  • Research and analyse capital market regulatory obligations

    Deploy Best practices in capital market Legal and Compliance needs

    Assist Research/ Business Development

    DUTIES & RESPONSIBILITIES

  • Maintain up-to-date information on regulatory and policy changes
  • Maintain up-to-date information of Participating Institutions
  • Conduct legal research and analysis to develop solutions to OTC market legal requirements
  • Provide support in drafting of legal agreements or statutory documents
  • Aid in reviewing applications for registration with NASD
  • Aid in monitoring the activities outlined in the Compliance monitoring Programme and ensure that the relevant reports are submitted to the department and regulatory bodies by other units
  • File and keep proper records of all documentation in the department
  • Assist in ensuring NASD is following the provisions of the Company and Allied Matters Act, Investment & Securities Act, Securities & Exchange Rules and Regulations and that all corporate filings are up to date
  • Relationship Management of assigned institutions.
  • Maintain up to date information on participating institution
  • Assist in organizing Board related activities
  • QUALIFICATION / EXPERIENCE:

  • First degree in Law (LL.B)
  • Professional Legal qualification (BL)
  • Must have 2 years’ experience post call
  • Must have worked in a legal department of an organization or a law firm.
  • Interested and qualified candidates should please forward their cv to hr@nasdng.com.

    On or before 20th march