Legal and Compliance Officer

DEPARTMENT: Senior Investment Ananlyst


INDUSTRY: Finance & Investment

Division: Legal & regulatory Compliance

Process Unit

• Business Planning
• Legal & regulatory Compliance
• Legal Research & Analysis
• SLA Performance monitoring
• Relationship Management

Job Objectives

• 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

• Legal and Compliance
• Draft, review and advise on legal documentation of all types, agreements, contracts, product papers, within agreed timeframes and under the supervision of the Department Head.
• Providing enterprise-wide legal support on a myriad of issues in a timely and qualitative manner.
• Minimizing NASD’s exposure and that of its subsidiaries to legal liabilities. Ensuring NASD’s compliance with all applicable laws and providing sound legal advice on legal obligations and implications on the enterprise’s business conduct, transactions, and policies.
• Assist in the provision of company secretarial services to NASD PLC, NASD TGF and NASD Subsidiaries including preparing or reviewing Board papers, calendars, minutes, and action notes.
• Managing external service providers in the provision of company secretarial services to 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 CAMA, Investment & Securities Act, Securities & Exchange Rules and Regulations and that all corporate filings are up to date.
• Other tasks as may be assigned by the Department Head.
• Market Regulation
• Drafting of new rules and regulations for NASD and putting out notices to stakeholders as well interpreting existing rules and answering frequently asked questions on proposed rules.
• Periodically amending existing Rules and Regulations in line with current developments and best practices.
• Maintain up-to-date information on regulatory and policy changes and give proactive opinions on proposed legislation that affects NASD.
• Review applications for registration with NASD and maintain up to date information of Participating Institutions.
• Conduct legal research and analysis to develop solutions to OTC market legal requirements.
• Prepare and update the PI Database reports on a weekly basis
• Maintain a database for tracking compliance history and deadlines granted to firms
• Monitor the status of PI Firms and send frequent notifications and reminders to default firms ahead of deadlines.
• Prepare compliance circulars and bulletins for publication
• Prepare compliance reports for the Securities & Exchange Commission on activities of Participating Institutions.


• First degree in Law (LL.B)
• Professional Legal qualification (BL)
• Must have at least 4 years’ experience post call in a relevant industry

Interested and qualified candidates should please visit

Capital Market Research Analyst

DEPARTMENT: Capital Market Research Analyst


INDUSTRY: Finance & Investment

Division: Business Development

Summary of Responsibilities:

The function is focused on enabling NASD identify service opportunities, providing critical input to product development and creating pitch documents.

Specific Duties and Responsibilities :

  • Researching and critically analyzing all available market information
  • Developing ranking models for NASD traded securities
  • Create and apply shadow valuation models on traded securities
  • compilation and writing of thematic sector and company research reports and investment recommendations.
  • Highlighting industry developments as might be relevant to NASD
  • Constantly reviewing public information to identify business opportunities
  • Creating and managing client feedback programs to ensure best value delivery

Educational Qualifications and Work Experience

  • Excellent bachelor’s degree in any field.
  • Minimum of 2 years post graduate cognate experience
  • Understanding and Knowledge of Capital and Financial Market.
  • Candidates pursuing relevant professional qualification are encouraged to apply.

Minimum Competency and Skills Requirements

  • Naturally inquisitive with strong information sourcing skills
  • Demonstrable interest in international capital markets
  • High numeracy and Statistic ability
  • Excellent written, verbal and presentation skills
  • Deductive reasoning and problem-solving skills
  • Flexibility, accuracy, and an ability to meet tight deadlines
  • High proficiency with Microsoft Suites

To apply, click application closes on Friday 3, September 2021

Software developer

DEPARTMENT: Software Developer


INDUSTRY: Finance & Investment

Division:Information Technology

Summary of Responsibilities:

The function is responsible for using their knowledge of programming languages to design software programs. This includes designing, developing, enhancing, and testing software to meet business needs.

Specific Duties and Responsibilities:

  • Collaborating with management, departments, and customers to identify end-user requirements and specifications
  • Designing algorithms and flowcharts to create new software programs and systems
  • Producing efficient and elegant code based on requirements
  • Testing and deploying programs and applications
  • Troubleshooting, debugging, maintaining and improving existing software
  • Compiling and assessing user feedback to improve software performance
  • Observing user feedback to recommend improvements to existing software products
  • Developing technical documentation to guide future software development projects

Educational Qualifications and Work Experience:

Bachelor’s degree in computer science
Relevant software certifications
Minimum of 3 years post-graduate cognate experience
Proof of previous works and skill

Minimum Competency and Skills Requirements:

  • Naturally inquisitive with strong information sourcing skills
  • Excellent written, verbal and presentation skills
  • Deductive reasoning and problem-solving skills
  • Flexibility, accuracy, and an ability to meet tight deadlines
  • Strong understanding of UI, cross-browser compatibility, general web functions and standards.
  • Grasp of security principles and how they apply to web applications
  • Responds promptly to assignments and tasks as requested and keeps commitments to deadlines.
  • Front-end development skills using html, JavaScript, css, jQuery etc.
  • Knowledge of REACT.js and tools, experience with user interface design, performance testing
  • Back-End development skills using Java, Hibernate, Node js etc

If you qualify for this position, please send CV to with SOFTWARE DEVELOPER as the email subject. Only qualified candidates will be shortlisted.