Job Description
Our client, a prominent financial markets institution in Kenya, provides 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 framework.
Reporting to the Chief Executive Officer, this key position serves as the liaison between the corporation’s operational functions and the dynamic regulatory environment of Kenya’s capital markets, integrating legal counsel, compliance oversight, and risk governance.
This role is designed to uphold a strong legal and compliance framework, ensuring the organization remains fully aligned with regulatory mandates while proactively identifying and mitigating risks across all business segments. The Manager, Legal, Risk and Compliance will harmonize legal strategy, regulatory governance, data protection protocols, and policy formulation with the organization’s overarching strategic goals—providing leadership with precise, actionable insights to effectively navigate the complexities of today’s highly regulated capital markets landscape.
We are seeking a skilled professional to oversee a range of key responsibilities, including the management of daily operations, team collaboration, and strategic planning to drive organizational success. The ideal candidate will ensure compliance with industry standards, monitor performance metrics, and implement process improvements to enhance efficiency. Strong leadership, exceptional problem-solving abilities, and effective communication skills are essential for this role. Additionally, the position requires experience in budgeting, resource allocation, and stakeholder engagement to achieve long-term objectives. The successful applicant will be responsible for mentoring staff, fostering a positive work environment, and aligning team goals with company-wide initiatives. Familiarity with relevant software tools and a track record of delivering measurable results are also required.
The Legal Affairs team is responsible for providing comprehensive legal support and guidance to the organization, ensuring compliance with all applicable laws and regulations. This role requires a thorough understanding of corporate law, contract negotiation, and risk management, along with the ability to interpret complex legal documents. Key responsibilities include drafting, reviewing, and negotiating contracts, advising on regulatory matters, and mitigating legal risks. Additionally, the position demands strong analytical skills, meticulous attention to detail, and exceptional communication abilities to collaborate effectively with stakeholders across various departments. A Juries Doctor (JD) degree and active membership in a state bar association are mandatory, with prior experience in a corporate legal environment preferred.
Provide strategic counsel to the Board and senior leadership regarding the interpretation and application of capital markets laws, regulations, rules, and guidelines.
Oversee and administer the engagement of external legal counsel tasked with delivering legal services to the organization.
Demonstrate leadership in delivering internal legal support services to all projects and divisions.
Responsible for managing critical legal functions, including the preparation, negotiation, and finalization of commercial settlement agreements.
Assess the legal implications of all contracts and related documentation, identifying matters that necessitate the attention of the Executive Committee and escalating them accordingly.
Revise and adjust contractual documents to facilitate and enhance diverse business operations.
Maintain current records of all legal information and data while ensuring the security and integrity of legal documents and contracts.
Offer expert legal counsel and conduct comprehensive research on organizational matters, as well as broader capital markets issues, to ensure informed decision-making and compliance with applicable regulations.
Oversee and administer pending legal proceedings in collaboration with external legal counsel.
Interpret and communicate legal information, develop and deliver training programs, and ensure staff are informed of applicable legal requirements.
The Regulatory Affairs role encompasses the oversight and management of compliance activities to ensure adherence to relevant laws, regulations, and guidelines. This position requires a thorough understanding of regulatory frameworks affecting the organization’s operations, including the development of internal policies and procedures to meet these requirements. Key responsibilities involve submitting documentation to regulatory bodies, responding to inquiries, and collaborating with cross-functional teams to address compliance issues. Strong analytical and communication skills are essential, along with meticulous attention to detail and the ability to interpret complex regulatory texts.
Ensure full compliance with all applicable regulatory obligations and requirements imposed by relevant laws and regulatory bodies is consistently maintained.
Oversee the organization and submission of all regulatory documentation, ensuring adherence to filing requirements and timelines.
Create and distribute comprehensive resources that outline legislative changes for senior leadership and key policymakers.
Analyze newly implemented regulatory amendments and integrate them into existing corporate policies and procedures to ensure full compliance.
Provide guidance to project teams regarding applicable regulatory requirements and identify the specific regulatory submissions or internal documentation necessary for compliance.
Responsible for managing the preparation and upkeep of regulatory documentation, databases, and systems.
Craft and execute innovative corporate communication strategies to uphold and enhance the organization’s reputation and brand identity.
Oversee and coordinate the efforts of external agencies and internal departments tasked with crafting and executing communication strategies and information initiatives for the organization.
Foster and manage the organization’s partnerships with regional and international stakeholders.
Ensures adherence to legal and regulatory requirements across all organizational operations, mitigating risk and maintaining compliance with applicable laws, statutes, and industry standards. Develops, implements, and monitors compliance policies, procedures, and training programs to promote ethical conduct and operational integrity. Conducts regular audits, assessments, and reviews to identify potential compliance gaps or vulnerabilities. Collaborates with leadership, legal counsel, and external stakeholders to address compliance issues and implement corrective actions. Serves as a key resource for interpreting regulatory changes and guiding business units in maintaining compliance with evolving legal frameworks.
Oversee control systems to verify adherence to the Capital Markets Act, the Central Depositories Act, and all associated regulatory frameworks.
Craft strategies aimed at preventing breaches of legal regulations and internal policies, with a focus on ensuring adherence to all operational and procedural manuals.
Offer expert direction in developing and refining internal policies to ensure full compliance with applicable legal requirements.
Develop and execute frameworks to oversee and ensure adherence to relevant rules and regulations by Central Depository Agents.
Compile and file recurring compliance reports for the Board, incorporating detailed updates on any significant regulatory breaches.
Drive the resolution of disputes through settlement and arbitration, ensuring adherence to regulatory standards and requirements.
Ensure the organization adheres to all relevant government regulations and internal company policies governing operations within the capital markets sector.
Stay abreast of emerging and forthcoming regulatory changes, promptly relaying pertinent updates to relevant organizational stakeholders.
Monitor team performance of compliance-related responsibilities, proactively identifying corrective and preventive measures to mitigate potential or actual non-compliance risks.
The position requires expertise in identifying, assessing, and mitigating potential risks to safeguard organizational assets and ensure operational continuity. Key responsibilities include developing and implementing comprehensive risk management frameworks, analyzing emerging threats, and recommending strategic solutions to minimize exposure. The ideal candidate will possess strong analytical skills, proficiency in risk assessment methodologies, and the ability to communicate findings effectively to stakeholders at all levels. Additionally, experience in regulatory compliance and crisis response planning is highly desirable.
Formulate, oversee, and execute strategic initiatives and yearly roadmaps focused on risk management and its associated functions.
Review and uphold policies, procedures, and annual plans related to risk management for all organizational divisions, ensuring consistency and adherence to established standards.
Responsible for supervising and tracking the execution of the risk framework across the organization, encompassing risk assessments, evaluations of the control environment, and development of action plans.
Prepare and present risk-related reports to senior management, the Audit and Risk Committee, and external stakeholders as needed.
Conduct thorough risk assessments by analyzing and documenting potential exposures, identifying control breaches, evaluating new developments, and implementing corresponding action plans.
Monitor industry trends and disseminate updates on evolving risk management best practices to relevant stakeholders.
Deliver expert guidance, structured training initiatives, and comprehensive educational programs to cultivate a robust business-wide comprehension of risk management principles among employees and essential stakeholders.
The role involves crafting, reviewing, and implementing organizational policies to ensure compliance with legal and ethical standards while aligning with strategic objectives. Responsibilities include conducting research on regulatory changes, collaborating with stakeholders to gather input, and drafting clear, concise policy documents. Additionally, the position requires assessing the impact of proposed policies, monitoring their effectiveness, and recommending revisions as needed. Strong analytical skills, attention to detail, and the ability to communicate complex information effectively are essential. Experience in policy analysis, government relations, or a related field is preferred.
Demonstrate leadership in establishing and executing key policy priorities and strategic initiatives in collaboration with members of the Executive Committee.
Work collaboratively with executive leadership to establish and nurture strategic connections with prominent policymakers and key opinion leaders.
Evaluate internal policies and procedures to assess their legal implications and provide guidance to management on compliance and risk mitigation.
Verify that all contracts, agreements, and internal policies adhere to applicable statutory and regulatory standards.
Perform or arrange for the execution of research on policy-related matters as needed.
We safeguard sensitive information by implementing robust security measures, ensuring compliance with regulatory standards, and mitigating potential risks to maintain organizational integrity and confidentiality. This role involves monitoring data access, conducting regular audits, and addressing vulnerabilities to protect against breaches. Additionally, you will collaborate with cross-functional teams to develop policies, train employees on best practices, and oversee incident response procedures. Strong analytical skills, attention to detail, and a deep understanding of data protection frameworks are essential for success in this position.
Provide guidance to management and staff regarding data processing obligations in accordance with the Data Protection Act 2019 and relevant regulatory frameworks.
Ensure the organization adheres to the requirements of the Data Protection Act 2019 in both its roles as a Data Controller and a Data Processor.
Provide training and development opportunities to enhance the skills of personnel responsible for data processing activities.
Provide guidance regarding assessments of data protection impacts.
Collaborate with the Data Commissioner and other pertinent authorities regarding all aspects of data protection.
Minimum requirements include a Bachelor’s degree in a relevant field, such as Computer Science, Engineering, or Information Technology. Additionally, candidates must possess at least three years of professional experience in a related role, along with proficiency in key programming languages and software development methodologies. Strong problem-solving skills, effective communication abilities, and a collaborative mindset are essential for success in this position. Familiarity with project management tools and agile practices is also required.
Earned a Bachelor’s degree in Law from an accredited university.
Holders of a Postgraduate Diploma in Law, awarded by the Kenya School of Law, will be considered for this role.
A Master’s degree in a related field from an accredited institution would be considered an additional asset.
With a minimum of seven years of professional experience, including at least three years in a leadership or supervisory role, you will bring valuable expertise to this position.
Seeking a highly qualified professional with a proven track record in their field, evidenced by relevant certifications, licenses, or advanced degrees. The ideal candidate will possess a minimum of five years of hands-on experience in a specialized area, demonstrating expertise through measurable achievements. Strong analytical, problem-solving, and communication skills are essential, along with the ability to work collaboratively in fast-paced environments. Familiarity with industry-specific tools, technologies, and compliance standards is required to ensure operational excellence and adherence to best practices.
An esteemed member of the High Court of Kenya, serving as an advocate with full professional credentials.
We are seeking a candidate who is an esteemed member of the Law Society of Kenya, demonstrating a strong commitment to professional legal standards and ethical practices.
Seeking a Certified Public Secretary (CPS) with demonstrated expertise in corporate governance, compliance, and administrative procedures. The ideal candidate will possess strong organizational skills, attention to detail, and the ability to manage complex schedules while ensuring adherence to regulatory standards. Responsibilities include preparing and filing legal documents, maintaining corporate records, coordinating meetings, and supporting executive teams with precise documentation. Proficiency in corporate law, strong communication skills, and a commitment to maintaining confidentiality are essential.
Demonstrates proficiency in key competencies essential for the role, including strategic thinking, problem-solving, and adaptability. Exhibits strong interpersonal skills to collaborate effectively with cross-functional teams. Maintains a customer-centric mindset to ensure high-quality service delivery. Shows commitment to continuous learning and professional development. Displays leadership qualities to inspire and motivate team members while driving project success.
Proven expertise in preparing, evaluating, and analyzing legal documents and instruments with precision and clarity.
Proficiency in assessing risks and ensuring adherence to compliance standards across various regulatory frameworks is essential.
Proficiency in capital markets regulation—particularly the rules and frameworks governing Kenya’s capital markets—will provide a significant edge.
Proficiency in ongoing capital markets regulation and development processes is advantageous.
Exceptional interpersonal abilities, coupled with a talent for mediating and facilitating dispute resolution, are required.
Proficient in both verbal articulation and written correspondence, ensuring clarity and effectiveness in all communications.
Must exercise unwavering discretion and sensitivity to safeguard confidential and privileged information at all times.
Able to maintain steady, high-caliber performance while working under tight deadlines and dynamic conditions.
Demonstrates a steadfast dedication to ongoing professional growth and staying informed about the latest developments and shifts within the industry.
Maintains a positive, collaborative, and solutions-focused mindset, actively contributing to a productive team environment.
Qualifications
BA/BSc/HND , Diploma , MBA/MSc/MA
Experience Required
7 years
