Job Description
Our client, a reputable financial markets institution in Kenya, provides essential post-trade services to investors and market participants. They are recruiting a Manager, Legal, Risk, and Compliance to uphold the organization’s legal integrity, regulatory compliance, and enterprise risk management objectives.
Reporting directly to the Chief Executive Officer, this critical position serves as a strategic conduit between the organization’s operational challenges and the dynamic regulatory environment of Kenya’s capital markets. The role encompasses the provision of expert legal guidance, ensuring strict adherence to compliance standards, and the management of risk governance frameworks. By aligning corporate objectives with evolving regulatory demands, this position plays a pivotal role in safeguarding the corporation’s interests while fostering sustainable growth within a highly regulated sector.
The primary objective of this position is to uphold a strong legal and compliance structure within the organization while identifying and mitigating risks across all business units. The Manager, Legal, Risk and Compliance will integrate legal strategy, regulatory oversight, data protection measures, and policy formulation with the organization’s strategic goals—providing leadership with precise, well-founded guidance to effectively navigate the evolving complexities of a highly regulated capital markets landscape.
Job Responsibilities
The Legal Affairs department is responsible for providing comprehensive legal support and counsel to the organization, ensuring compliance with all applicable laws, regulations, and internal policies. This role involves managing legal risks, drafting and reviewing contracts, and handling litigation matters as they arise. Key responsibilities include advising senior management on legal implications of business decisions, negotiating agreements with external parties, and maintaining accurate legal documentation. Candidates must possess a Juries Doctor degree from an accredited law school, be admitted to the state bar, and demonstrate at least five years of relevant legal experience. Strong analytical, communication, and negotiation skills are essential, along with the ability to work independently under tight deadlines.
Provide strategic direction to the Board and Management on the application of capital markets laws, regulations, rules, and guidelines.
Oversee and administer the engagement of external legal counsel responsible for delivering legal services to the organization.
Offer strategic direction and oversight for internal legal counsel provided to projects and divisions throughout the organization.
Manage essential legal functions involving the preparation, negotiation, and finalization of commercial agreements and settlements.
Conduct a thorough analysis of all contracts and related documentation to identify any legal risks or obligations, promptly elevating any issues that necessitate review by the Executive Committee.
Examine and revise contractual documents to enhance and facilitate diverse business operations.
Maintain accurate and current records of all legal information and documentation while ensuring the secure custody of legal files and contracts.
Offer expert legal counsel and conduct thorough research on organizational and broader capital markets-related issues.
Oversee and coordinate ongoing legal disputes in collaboration with external legal counsel.
Deliver legal counsel, clarify legal obligations, and ensure staff comprehension through targeted training initiatives and clear communication of applicable legal standards.
Responsibilities include ensuring compliance with all applicable regulatory standards, preparing and submitting documentation for approval, and maintaining up-to-date knowledge of evolving regulations. Additionally, the role involves coordinating with internal teams to facilitate submissions, addressing inquiries from regulatory authorities, and conducting thorough reviews of product documentation for accuracy and completeness. Candidates must possess a bachelor’s degree in a relevant scientific or regulatory field, along with at least three years of experience in regulatory affairs, preferably within the pharmaceutical, biotechnology, or medical device industries. Strong attention to detail, exceptional organizational skills, and proficiency in regulatory software are essential, as is the ability to communicate complex requirements clearly to stakeholders.
Ensure ongoing compliance with all applicable laws and regulatory authority requirements, upholding and sustaining these obligations consistently.
Prepare and file regulatory documents and submissions in a coordinated manner.
Craft and distribute documents highlighting legislative changes to senior leadership and key policymakers.
You are responsible for analyzing updates to regulatory requirements and integrating these changes into existing corporate policies and procedures.
Provide guidance to project teams regarding regulatory obligations and assess the necessary regulatory submissions or internal documentation.
You will be responsible for managing the development, upkeep, and accuracy of regulatory documentation, databases, and systems.
Devise and execute innovative corporate communication strategies to uphold and enhance the organization’s reputation and brand identity.
Oversee the operations of external agencies and internal departments tasked with designing and executing communication strategies and information initiatives for the organization.
Facilitate the organization’s engagement with regional and international partners to ensure productive collaborations and alignment with strategic objectives.
Ensuring adherence to legal standards, regulatory mandates, and internal policies is a critical responsibility of this role. The position requires meticulous attention to detail, a comprehensive understanding of compliance frameworks, and the ability to interpret complex laws and regulations. Key duties include monitoring regulatory changes, assessing their impact on organizational operations, and implementing necessary adjustments to maintain compliance. Additionally, the role involves coordinating with cross-functional teams to ensure alignment with legal requirements, conducting audits or risk assessments, and providing clear guidance on compliance obligations to stakeholders. Strong analytical skills, proficiency in compliance tools, and a commitment to ethical practices are essential for success in this position.
Oversee and direct control systems to maintain compliance with the Capital Markets Act, the Central Depositories Act, and any associated regulatory provisions.
Formulate and implement measures to avert breaches of regulatory requirements and internal guidelines, while ensuring adherence to all operational and procedural manuals.
Offer strategic direction in the formulation of internal policies to maintain compliance with applicable legal frameworks.
Develop and execute frameworks to monitor the adherence of Central Depository Agents to relevant rules and regulations.
Compile and file regular compliance reports for the Board, incorporating details on any significant regulatory breaches.
Oversee the resolution and mediation of disputes to uphold regulatory adherence.
Maintain adherence to all relevant government regulations and internal company policies governing operations within the capital markets sector.
Ensure the organization remains apprised of emerging and forthcoming regulatory changes.
Provide leadership to team members in fulfilling their compliance obligations, evaluating opportunities for corrective and preventive measures to reduce potential or existing non-compliance risks.
Risk mitigation specialists will identify, evaluate, and address potential threats to organizational assets, operations, and stakeholders, ensuring compliance with regulatory standards and minimizing financial or reputational harm. Candidates must possess a Bachelor’s degree in finance, business administration, risk management, or a related field, along with 3+ years of experience in risk assessment, audit, compliance, or a comparable role. Proficiency in risk management frameworks (e.g., COST, ISO 31000) and tools (e.g., RSA Archer, Metric Stream) is crucial. Strong analytical, problem-solving, and communication skills are required, along with the ability to interpret complex data and present findings to leadership. Responsibilities include developing risk policies, conducting audits, monitoring emerging risks, and collaborating with cross-functional teams to implement mitigation strategies.
Formulate, oversee, and execute risk management strategies and corresponding annual initiatives to ensure organizational resilience and compliance.
Responsibilities include regularly evaluating and updating policies, procedures, and annual risk management plans to ensure alignment across all divisions.
Responsible for supervising and tracking the deployment of the risk framework across the organization, encompassing risk assessments, evaluations of the control environment, and development of action plans.
Prepare comprehensive risk assessments and present findings to senior management, the Audit and Risk Committee, and external stakeholders, as needed.
Conduct thorough risk assessments by analyzing exposures, identifying control breaches, monitoring new developments, and documenting action plans accordingly.
Stay abreast of evolving industry trends and emerging best practices in risk management, and effectively disseminate this information to relevant stakeholders.
Offer expert advice, conduct training sessions, and design educational initiatives to foster a comprehensive understanding of risk management principles among employees and essential stakeholders.
Develops and refines policies to ensure organizational compliance, operational efficiency, and alignment with strategic objectives. Collaborates with stakeholders across departments to gather input, assess risks, and address potential gaps in existing guidelines. Drafts clear, concise, and legally sound policy documents, incorporating industry best practices and regulatory standards. Reviews and updates policies periodically to reflect evolving business needs, legal requirements, and emerging trends. Provides guidance and training to employees and leadership on policy interpretation and implementation, fostering a culture of accountability and consistency.
Demonstrate strong leadership by collaborating with members of the Executive Committee to shape and execute key policy priorities and strategic initiatives.
Partner with senior leadership to cultivate and sustain strategic relationships with pivotal policymakers and influential stakeholders.
Evaluate internal policies and procedures to assess their legal implications and provide strategic guidance to management regarding compliance and risk mitigation.
Verify that all contracts, agreements, and internal policies adhere to applicable statutory and legal standards.
Research relevant policy issues thoroughly, either independently or through external consultants, and produce comprehensive findings as needed.
Ensuring the safeguarding of sensitive information and compliance with data security regulations represents a critical aspect of this role. The successful candidate will be tasked with developing, implementing, and enforcing policies to mitigate risks associated with data breaches and unauthorized access. Responsibilities include conducting regular audits, monitoring data handling procedures, and providing guidance to staff on best practices for protecting confidential information. Proficiency in data encryption, access controls, and regulatory frameworks such as GDPR or CCPA is essential, along with a strong analytical mindset to identify vulnerabilities and recommend corrective measures.
Provide guidance to management and staff regarding data processing obligations as stipulated by the Data Protection Act 2019 and additional relevant regulatory frameworks.
Ensure the organization adheres to the provisions of the Data Protection Act 2019, fulfilling obligations as both a Data Controller and a Data Processor.
Provide training and support to enhance the skills and competencies of personnel engaged in data processing activities.
Provide guidance on conducting data protection impact assessments.
Collaborate with the Data Commissioner and other pertinent authorities regarding all aspects of data protection compliance.
• Bachelor’s degree in Computer Science, a related technical field, or equivalent practical experience
• 3 years of full-time work experience in software development, including at least 1 year focused on machine learning or data science
• Proficiency with Python and one or more deep learning frameworks such as TensorFlow or PyTorch
• Experience designing, building, and deploying machine learning models in production environments
• Strong understanding of data structures, algorithms, and software engineering best practices
• Excellent communication skills with the ability to collaborate effectively across engineering, product, and business teams
A recognized university degree in Law is required.
Holders of a Postgraduate Diploma in Law conferred by the Kenya School of Law meet the academic qualifications required for admission to the Kenyan Bar.
A relevant Master’s degree from a recognized university will be considered a valuable asset.
A minimum of seven years of professional experience is required, with at least three years dedicated to leadership or supervisory roles.
Professional qualifications encompass a combination of education, certifications, and relevant experience essential for fulfilling the responsibilities of the role. Candidates must hold a minimum of a bachelor’s degree in a related field, along with specialized training or credentials that demonstrate expertise in key areas. Prior to work experience in a comparable position is required, with a preference for individuals who have successfully managed complex projects or led teams. Strong analytical, communication, and problem-solving skills are necessary to navigate challenges and drive results. Familiarity with industry-specific tools, software, or methodologies is also expected to ensure operational efficiency and compliance with standards.
Experienced legal professional holding the distinguished position of Advocate of the High Court of Kenya, with full admission and active practice rights before the judiciary in Kenya.
A registered member of the Law Society of Kenya holds esteemed standing within the legal profession in Kenya.
A Certified Public Secretary (CPS) credential is required for this role. Candidates must hold an active CPS certification, demonstrating expertise in corporate governance, compliance, and executive support. The position demands a thorough understanding of regulatory frameworks, meticulous attention to detail, and the ability to manage complex administrative and legal tasks. Responsibilities include preparing and filing legal documents, ensuring adherence to statutory requirements, coordinating board meetings, and maintaining accurate corporate records. Strong organizational skills, discretion, and proficiency in corporate governance best practices are essential.
Demonstrates a comprehensive understanding of key competencies pertinent to the role, including analytical thinking, problem-solving capabilities, effective communication, and leadership skills. Proficient in project management, with a strong aptitude for organizing tasks, meeting deadlines, and driving initiatives to successful completion. Exhibits adaptability in dynamic environments, coupled with a commitment to continuous learning and professional development. Possesses exceptional interpersonal skills to collaborate seamlessly with cross-functional teams and stakeholders. Maintains a customer-centric approach, ensuring alignment with organizational objectives and delivering high-quality results.
Proven proficiency in preparing, analyzing, and clarifying legal documents and instruments.
Proficiency in conducting risk assessments and ensuring adherence to compliance standards across varied regulatory frameworks is essential.
Proficiency in capital markets regulation, particularly the frameworks governing Kenya’s capital markets’ ecosystem, will be highly beneficial.
Continuous capital markets regulation and development training and skills would be beneficial.
Exceptional communication and interpersonal skills, coupled with a strong aptitude for mediating and resolving disputes effectively.
Effective articulation in both verbal and written formats is essential.
Conscientious handling of sensitive and privileged information with unwavering confidentiality and meticulous discretion is required, ensuring the utmost sensitivity in all interactions.
Able to maintain a steady of superior-quality work within a high-pressure setting.
Demonstrates a steadfast dedication to ongoing professional growth and staying informed about emerging industry developments.
We seek candidates who demonstrate an optimistic, cooperative, and proactive approach to problem-solving, fostering a productive and harmonious work environment.
Qualifications
BA/BSc/HND , Diploma , MBA/MSc/MA
Experience Required
7 years
