Careers

DEPARTMENT: HEAD, LEGAL & COMPLIANCE

A Self-Regulatory Organisation that acts as a securities exchange and Over the Counter Market is looking to recruit for the role above.
PROCESS UNIT
JOB OBJECTIVE(S)

  • Legal & Regulatory Compliance

  • Research and Analyse capital market regulatory obligations

  • Deploy Best practices in Capital market Legal and Compliance needs

 

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.

  • Avoid legal challenges by understanding current and proposed legislation; enforcing regulations; recommending new

    procedures; complying with legal requirements

  • Reporting to the Rules and Governance 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

  • Establish compliance operational strategies.

  • Enhances compliance and organization reputation by accepting ownership for accomplishing new and different

    requests; exploring opportunities to add value to job accomplishments.

  • Ensure compliance with data protection regulations.

  • Maintain a cordial relationship

QUALIFICATION / EXPERIENCE:

  • 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.

KEY COMPETENCY REQUIREMENTS

KEY PERFORMANCE INDICATORS

Functional Competencies

  • Strategic Perspective

  • Market & Customer Understanding

  • Quality Management

  • Execution

  • Cost Optimization

Organizational Competencies

  • Oral Communication

  • Written Communication

  • Leadership

  • Organizational Awareness

  • Customer Orientation

Knowledge

  • Microsoft office

  • Sound understanding of local corporate

    & Commercial law

  • Knowledge of investment and securities

    laws and regulations

  • Knowledge legal contract drafting

• Products/Service Knowledge & Application

  • Industry Knowledge

  • Work Planning

Attributes

  • Teamwork and Collaboration

  • Innovation & Creativity • Integrity

Interested Applicants should their resumes to hr@nasdng.com

Job Summary

  • The Legal and Compliance Department of NASD PLC requires a consummate legal professional with a strong personality, keen attention to detail and the ability to work as a team player to support its Legal and Compliance Department.
  • The individual would be required to have a broad understanding of NASD’s overall mission, and strategy, as well a strong legal background
  • Grade: Legal Analyst
  • Reports to: Head, Legal and Compliance

 

DUTIES AND 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.
  • Managing external service providers in the provision of company secretarial services to NASD.
  • Preparing/ reviewing Board papers, calendars, minutes, and action notes
  • 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 defaulting firms ahead of deadlines.
  • Prepare compliance circulars and bulletins for publication
  • Prepare compliance reports for the Securities & Exchange Commission on activities of Participating Institutions.

    Qualifications and Experience

  • Minimum of 2:2 in University (LLB).
  • A law degree with at least 2-5 years’ experience in the legal function of a public company, law firm or financial services institution.
  • Strong understanding of securities laws and a good understanding of the Investment and Securities Act, SEC Rules and Regulations, NASD Rules and Regulations, CAMA and other regulations affecting the Nigerian capital market.

 

Required Competencies

  • Strong Research Expertise
  • Analytical Thinking
  • Application of Legal Expertise
  • Relationship Management
  • Project Management
  • Attention to Detail
  • Leadership
  • Problem Solving
  • Strong experience with MS Office Suite:

    Word, Excel, Project, PowerPoint.

Interested Applicants should their resumes to hr@nasdng.com

Role Summary:

We are looking for a Market Operations Analyst who would be responsible for supporting the activities of the Market Operations Control Team. The position is responsible with the duties of managing the delivery of market control services. These will include market setup, monitoring, training, data maintenance, reporting, participant support, trading surveillance and support.

Responsibilities:

Your role would include:

  • work on the entire activities of the Market Control Team such as daily market trading management, monitoring, and reporting.
  • Market participant reporting and support, issuer support and disclosures.
  • Market performance, company performance and trend analysis.
  • Market data statistics capture, market trend research and report generation.
  • Trainings, presentations, Newsletters generation.

Qualifications, Required Skills:

  • Minimum of B.Sc/HND in Finance, Economics, Statistics, Computer Science or similar field.
  • Membership in a professional body such as the Chartered Institute of Stockbrokers (CIS), CISI, ICAN or any other bodies will be an added advantage.

Required Skills:

  • Strong use of Ms Word, Excel, Power Point and Visio.
  • Interpersonal, Written and Verbal Communication Skills
  • Presentation and Analytical Skills
  • Highly Organised, attention to detail and accuracy.
  • Experience with research, generating reports and insights.
  • Knowledge and Understanding of the Capital Market and Economic trends
  • Ability to work independently and in a team.

 

Method of Application:

Interested and qualified candidates should send their updated Resume to hr@nasdng.com using Market Operations Analyst as the subject of the email.

Role Summary:

We are looking for a driven Software Developer who is not only strong technically, innovative, and motivated but would be responsible for supporting the activities of the Software Developers Team. Applicants with the ability to demonstrate exceptional problem-solving skills are desired, along with the ability to interact with clients technically. You will be a member of our development team in a highly fast pace and cutting-edge environment.

Responsibilities:

Your role would include:

  • 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
  • Ensure that all applications, database, and source codes are backed up and replicated to the backup servers
  • Perform support functions i.e., to resolve any reported issues presented by users

Qualifications, Required Skills:

  • Minimum of B.Sc./HND in Computer Engineering, Statistics, Computer Science, or similar field.
  • 2 years of experience in web application and mobile application.

Required Skills:

  • Proficiency in coding languages including Javascript, HTML & CSS, PHP, Python and frameworks or systems such as NodeJS and Git.
  • Frontend Design and integration.
  • Debugging and Troubleshooting.
  • Excellent knowledge of the Software Development Life Cycle.
  • Presentation and Analytical Skills.
  • Strong use of MS Office.
  • Interpersonal and Verbal Communication Skills
  • Strong Problem Solving and Communication skills.
  • Ability to work independently and in a team.

 

Method of Application:

Interested and qualified candidates should send their updated Resume to hr@nasdng.com using Software Developer as the subject of the email.