POSITION: HEAD LEGAL & COMPLIANCE

DEPARTMENT: LEGAL & COMPLIANCE

JOB GRADE: DEPUTY MANAGER

DUTIES & RESPONSIBILITIES:

  • 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.
  • Avoids 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 are 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

QUALIFICATION / EXPERIENCE:

  • First degree in Law (LL.B)
  • Professional Legal qualification (BL)
  • Must have at least 6 years’ experience post call in Capital Market, Finance, Asset Management or a Law Firm. Securities and Exchange (SEC) Sponsorship is an added advantage.

Interested and qualified candidates should please forward their current cv to hr@nasdng.com.