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 firstname.lastname@example.org.