Job Description
Our client, a prominent financial markets institution based in Kenya, specializes in delivering essential post-trade services to investors and market participants. They are recruiting a Manager of Legal, Risk, and Compliance to uphold the organization’s legal soundness, regulatory compliance, and enterprise risk initiatives.
Serving as a direct report to the Chief Executive Officer, this critical position functions at the nexus of legal advisory, regulatory adherence, and risk management, effectively aligning the company’s operational practices with the dynamic requirements of Kenya’s capital markets regulatory framework.
This position is designed to uphold the organization’s adherence to a strong legal and compliance framework while identifying and mitigating risks across all business units. The Manager, Legal, Risk and Compliance will integrate legal strategy, regulatory affairs, data protection, and policy formulation with the organization’s overarching goals, providing leadership with precise, evidence-based guidance to effectively navigate the growing complexity of the capital markets.
We are seeking a highly motivated professional to perform a range of critical duties tailored to our organizational needs. You will be responsible for overseeing key projects, ensuring timely execution and adherence to established standards. Additionally, you will collaborate with cross-functional teams to gather insights, streamline processes, and enhance operational efficiency. Analyzing complex data to derive actionable recommendations will also be a pivotal part of your role, requiring strong analytical and problem-solving abilities. Strong communication and interpersonal skills will be essential for fostering productive relationships with stakeholders at all levels.
The Legal Affairs department is responsible for ensuring compliance with all applicable laws, regulations, and company policies. Key responsibilities include drafting, reviewing, and negotiating contracts, as well as providing legal counsel to senior management and other departments. The team also handles litigation matters, risk assessment, and regulatory filings, while maintaining up-to-date knowledge of legal developments that may impact the organization. Candidates should possess a Juries Doctor (JD) degree from an accredited law school, along with active membership in a state bar association. Prior experience in corporate law, regulatory compliance, or a related field is preferred, along with strong analytical, communication, and problem-solving skills. Proficiency in legal research tools and contract management software is a plus.
Provide strategic counsel to the Board and Management regarding the interpretation of capital markets laws, regulations, rules, and guidelines.
Oversee the selection, engagement, and management of external legal counsel to ensure the delivery of high-quality legal services to the organization.
Demonstrate strong leadership in delivering comprehensive legal support to all projects and divisions within the organization.
Responsibilities include managing critical legal procedures associated with the preparation, negotiation, and finalization of commercial settlement agreements.
Assess all contracts and documentation for legal implications, elevating any issues that require Executive Committee review.
Review and revise contractual documents to facilitate and enhance diverse business operations.
Maintain accurate and current records of all legal information and documentation while ensuring the secure preservation of legal documents and contracts.
Deliver expert legal counsel and conduct meticulous research on organizational and broader capital markets-related matters.
Oversee and coordinate ongoing legal disputes in collaboration with external legal counsel.
You will deliver legal guidance, clarify applicable regulations, and facilitate training sessions to ensure staff comprehension of legal obligations.
Responsible for ensuring compliance with all applicable laws, regulations, and industry standards, the Regulatory Affairs professional plays a pivotal role in maintaining organizational adherence to evolving legal requirements. Duties include preparing, reviewing, and submitting regulatory documentation to governing bodies, such as applications for product approvals, safety reports, and labeling updates. Additionally, they conduct comprehensive assessments of regulatory changes, evaluate their impact on business operations, and recommend necessary adjustments to policies and procedures. Collaboration with cross-functional teams, including research, manufacturing, and quality assurance, is essential to align products with regulatory expectations while mitigating potential risks. Strong analytical skills, meticulous attention to detail, and the ability to interpret complex regulations are critical for success in this position.
Ensure strict adherence to and continuous maintenance of all regulatory obligations imposed by applicable laws and the mandates of pertinent regulatory authorities.
Oversee the compilation and timely filing of all regulatory documents and submissions to ensure compliance with applicable guidelines.
Prepare and distribute materials that highlight legislative updates for senior leadership and pertinent policymakers.
Analyze and interpret new regulatory requirements, then integrate them seamlessly into existing corporate policies and procedures to ensure full compliance.
Provide guidance to project teams regarding regulatory obligations and assess the specific regulatory submissions or internal documentation necessary for compliance.
Responsible for supervising the preparation and ongoing management of regulatory documentation, databases, and systems.
To uphold and enhance the organization’s reputation and brand identity, develop and execute forward-thinking corporate communication strategies.
Oversee the operations of external agencies and internal departments tasked with creating and executing communication strategies and information initiatives for the organization.
Foster strategic alliances with regional and international stakeholders to strengthen collaborative efforts and enhance organizational partnerships.
Legal & Regulatory Compliance
Manage and supervise control systems to ensure compliance with the Capital Markets Act, Central Depositories Act, and all regulations issued thereunder.
Craft strategies aimed at averting breaches of legal regulations and internal policies, with a focus on ensuring adherence to all operational and procedural manuals.
Offer strategic direction to develop internal policies, ensuring full compliance with applicable legal and regulatory requirements.
Develop and establish systems to oversee adherence to relevant rules and regulations by Central Depository Agents.
Prepare and file recurring compliance reports for the Board, encompassing disclosures of significant regulatory violations.
Direct oversight of dispute settlement and arbitration processes is required to ensure adherence to regulatory standards and requirements.
Ensure adherence to all relevant governmental regulations and internal company policies governing operations within the capital markets sector.
Monitor and promptly communicate any new or impending regulatory changes to the organization.
Direct supervision of employees is required to ensure adherence to compliance obligations, with a focus on evaluating performance to determine and implement corrective and preventive measures that address both potential and existing risks of non-compliance.
Risk Mitigation and Oversight
This role focuses on identifying, evaluating, and addressing potential risks to safeguard organizational assets and ensure operational continuity. Key responsibilities include analyzing risk exposures, developing mitigation strategies, and implementing controls to minimize financial, operational, and compliance-related threats. The position requires a strong understanding of risk assessment frameworks, regulatory requirements, and industry best practices. Candidates must possess analytical skills, attention to detail, and the ability to communicate complex risk concepts clearly. Experience in risk management, compliance, or related fields, along with proficiency in risk assessment tools, is essential. The role also involves collaborating with stakeholders to monitor risk trends, report findings, and recommend corrective actions to senior management.
Formulate, oversee, and execute comprehensive strategies and yearly plans focused on risk management and associated initiatives.
Evaluate and uphold policies, procedures, and yearly strategies pertaining to risk management across every organizational division.
Responsible for supervising and tracking the execution of the risk framework across the entire organization, encompassing activities such as conducting risk assessments, evaluating the control environment, and developing actionable mitigation plans.
As necessary, deliver comprehensive risk assessments and updates to senior leadership, the Audit and Risk Committee, and external stakeholders.
Conduct thorough risk assessments by analyzing and documenting exposures, identifying control breaches, monitoring new developments, and implementing corresponding action plans.
Monitor and disseminate emerging trends, innovations, and shifts in industry standards related to risk management practices.
Offer expert direction, facilitate training initiatives, and develop educational programs to cultivate a comprehensive understanding of risk management principles among staff members and essential stakeholders.
We are seeking a skilled professional to lead the creation and refinement of organizational policies, ensuring alignment with regulatory standards and strategic objectives. The ideal candidate will develop comprehensive policy frameworks, conduct thorough research to address compliance gaps, and collaborate with stakeholders to implement effective guidelines. Responsibilities include drafting, reviewing, and updating policies, evaluating their impact, and providing clear guidance to teams on adherence. Strong analytical abilities, attention to detail, and expertise in policy analysis are essential, along with the capacity to communicate complex requirements in accessible language. Experience in a related field and a proactive approach to identifying policy needs are required.
Offer strategic leadership in formulating and executing key policy initiatives and organizational strategies in collaboration with the Executive Committee members.
Work closely with senior leadership to establish and nurture critical connections with pivotal policymakers and influential stakeholders.
Provide counsel to management regarding the legal ramifications of internal policies and procedures, ensuring alignment with regulatory requirements and best practices.
Revise, review, and maintain all contracts, agreements, and internal policies to ensure strict alignment with current statutory and regulatory mandates.
Perform or arrange for the necessary research on policy-related matters as required.
Data security encompasses the strategies, protocols, and measures implemented to safeguard sensitive information from unauthorized access, breaches, or loss. This role requires expertise in developing, enforcing, and monitoring data protection policies in alignment with regulatory standards such as GDPR, CCPA, and HIPAA. Responsibilities include conducting risk assessments, implementing encryption protocols, managing access controls, and ensuring compliance through regular audits. The ideal candidate will possess strong analytical skills, proficiency in data security frameworks, and the ability to educate employees on best practices for maintaining data integrity. A deep understanding of cybersecurity threats, incident response planning, and data governance is essential for effectively mitigating risks and protecting organizational assets.
Provide guidance to leadership and staff regarding data processing obligations as mandated by the Data Protection Act 2019 and relevant regulatory frameworks.
Ensure that the organization adheres to the provisions of the Data Protection Act 2019 in its capacity as both a Data Controller and a Data Processor.
Support the enhancement of skills and competencies among personnel engaged in data processing activities.
Provide guidance on data protection impact assessments.
Collaborate closely with the Data Commissioner and pertinent regulatory bodies on all aspects of data protection compliance and governance.
Bachelor’s degree in a relevant field or equivalent practical experience is required. Candidates must possess a minimum of three years of professional experience in a related discipline. Proficiency with industry-standard tools and software is essential. Strong analytical, problem-solving, and communication skills are mandatory. Ability to work collaboratively in a team environment is a key requirement. Familiarity with current trends and best practices in the field is expected.
A law degree from an accredited university is required.
Holders of a Postgraduate Diploma in Law awarded by the Kenya School of Law are eligible to apply.
A Master’s degree in a related field from an accredited university would be considered beneficial.
With a minimum of seven years of hands-on experience in the field, including at least three years in a leadership or managerial role, the ideal candidate will bring a proven track record of overseeing teams and driving operational success.
A strong candidate will possess a relevant degree in a related field, complemented by several years of experience in a comparable role. Essential requirements include exceptional analytical and problem-solving abilities, along with proficiency in industry-specific tools and software. The ideal applicant will demonstrate excellent communication skills, both written and verbal, and the capacity to work effectively within a team-driven environment. Prior experience in project management or leadership is highly advantageous, as is familiarity with current industry trends and best practices.
A distinguished legal practitioner admitted to the Roll of Advocates of the High Court of Kenya, possessing the requisite qualifications and credentials to practice law within the jurisdiction.
An active participant in the Law Society of Kenya, ensuring adherence to professional standards and ethical practices.
Certified as a Public Secretary (CPS), the individual possesses specialized credentials validating their expertise in corporate governance, compliance, and administrative support at the executive level. This designation signifies comprehensive knowledge of legal and regulatory frameworks governing business operations, ensuring adherence to statutory requirements. The role encompasses meticulous preparation of corporate documentation, facilitation of board meetings, and maintenance of official records with precision. In addition to organizational responsibilities, the position demands strong interpersonal skills to liaise effectively between stakeholders, executives, and regulatory bodies.
Actively seeks to align personal skill sets with organizational goals, demonstrating adaptability and a commitment to continuous learning. Exhibits strong analytical thinking and problem-solving capabilities to address complex challenges efficiently. Possesses excellent communication skills, both written and verbal, to articulate ideas clearly and collaborate effectively across teams. Maintains a proactive approach to task management, prioritizing responsibilities to meet deadlines and deliver high-quality results. Displays leadership potential through initiative, accountability, and the ability to motivate others in pursuit of shared objectives.
Demonstrates exceptional proficiency in preparing, evaluating, and understanding legal documents and instruments.
Proficient in conducting risk analysis and ensuring adherence to compliance standards across various regulatory frameworks.
Proficiency in capital markets regulation, particularly the statutes and directives shaping Kenya’s capital markets’ framework, would provide a competitive edge.
Proficiency in ongoing capital markets regulation and development represents a valuable asset.
Exceptional interpersonal capabilities are vital for effectively mediating and facilitating dispute resolution.
Proven ability in articulating ideas clearly and effectively, both orally and in writing, is essential.
Demonstrates unwavering discretion and sensitivity in safeguarding confidential and privileged information at all times.
Delivers consistently high-quality work amidst dynamic, high-pressure conditions.
Demonstrates dedication to ongoing professional growth and staying informed about emerging industry developments.
Maintains a positive, collaborative, and solutions-oriented approach while engaging with team members and stakeholders.
Qualifications
BA/BSc/HND , Diploma , MBA/MSc/MA
Experience Required
7 years
