Job Description
Our client, a prominent financial markets institution based in Kenya, provides essential post-trade services to investors and market participants. They are in search of a Manager, Legal, Risk, and Compliance to uphold the organization’s legal integrity, regulatory compliance, and enterprise risk management initiatives.
This critical position reports directly to the Chief Executive Officer and serves as the nexus between legal advisory, regulatory adherence, and risk management, effectively aligning the company’s operational strategies with the dynamic requirements of Kenya’s capital markets regulatory framework.
This position is designed to uphold a strong legal and compliance framework, while identifying and mitigating risks proactively across all business units. The Manager, Legal, Risk and Compliance will integrate legal strategy, regulatory affairs, data protection, and policy development with the organization’s strategic goals, providing leadership with precise, evidence-based guidance to effectively navigate the evolving complexities of a highly regulated capital markets landscape.
We are seeking a detail-oriented professional to oversee daily operations, ensuring all tasks are completed efficiently and in compliance with established standards. The role involves managing project timelines, coordinating team efforts, and maintaining accurate documentation of progress and outcomes. Additionally, the position requires collaborating with cross-functional departments to align initiatives with organizational goals, identifying potential issues, and implementing corrective measures as needed. Candidates should demonstrate strong problem-solving skills, adaptability, and the ability to prioritize tasks in a fast-paced environment. A commitment to continuous improvement and a proactive approach to challenges are essential.
The Legal Affairs department is responsible for providing comprehensive legal support and guidance across all facets of the organization. Team members will review, draft, and negotiate contracts, ensuring compliance with applicable laws and regulations while mitigating potential risks. Additionally, they will advise senior management on legal matters, including corporate governance, intellectual property, and regulatory filings. The role requires a Juries Doctor (JD) degree from an accredited institution, active membership in a state bar association, and at least five years of relevant legal experience. Strong analytical, communication, and problem-solving skills are essential, along with proficiency in legal research tools and software.
Provide strategic counsel to the Board and Management, ensuring accurate interpretation 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.
Leadership must be provided for internal legal support across every project and division.
Responsible for managing critical legal procedures encompassing the preparation, negotiation, and finalization of commercial settlement agreements.
Evaluate all contractual agreements and supporting documents to identify potential legal consequences, promptly flagging any issues that necessitate review by the Executive Committee.
Revise and refine contractual documents to facilitate and enhance diverse business operations.
Maintain accurate and up-to-date records of all legal information and documentation while ensuring the secure management and protection of legal files and contracts.
Deliver expert legal counsel and conduct thorough research on organizational and broader capital markets issues.
Oversee and coordinate ongoing legal disputes in collaboration with external legal counsel.
Interpret and convey legal information, deliver training sessions, and ensure staff are informed of relevant legal requirements.
Responsible for ensuring compliance with all applicable regulatory guidelines and requirements, the Regulatory Affairs Specialist plays a critical role in guiding product development, submissions, and approvals. This position involves overseeing documentation, coordinating submissions to regulatory agencies, and maintaining up-to-date knowledge of evolving regulations in the industry. Additionally, the role requires effective communication with cross-functional teams to address compliance inquiries, resolve issues, and ensure that all processes align with legal and regulatory standards. Strong attention to detail, analytical skills, and the ability to interpret complex regulations are essential for success in this position.
Ensure ongoing compliance with all applicable legal and regulatory requirements mandated by pertinent authorities.
Oversee the compilation and submission of all required regulatory documents and filings.
Create and distribute informational resources regarding legislative changes for senior leadership and key policymakers.
Review and incorporate updates to regulatory guidelines into existing corporate policies and procedures to maintain compliance and operational alignment.
Provide guidance to project teams regarding regulatory standards and identify the necessary regulatory submissions or internal documentation.
Responsibilities include managing the preparation and upkeep of regulatory documentation, databases, and systems to ensure accuracy, compliance, and accessibility. This role involves overseeing the organization, updating, and maintenance of these critical resources to support regulatory adherence and operational efficiency.
Craft 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 responsible for designing and executing organizational communication strategies and information initiatives.
Facilitate the organization’s engagements with regional and international partners to ensure seamless collaboration and alignment with strategic objectives.
Ensures adherence to all applicable legal statutes, regulatory frameworks, and industry standards through meticulous monitoring and proactive implementation of compliance policies. Develops, reviews, and updates internal procedures to mitigate risks and maintain organizational integrity, while providing guidance to mitigate legal exposure. Collaborates with cross-functional teams to assess regulatory changes, interpret their implications, and integrate necessary adjustments into operational processes. Conducts audits, risk assessments, and training programs to foster a culture of compliance across the organization, ensuring timely and accurate reporting to regulatory authorities as required.
Oversee the administration and supervision of control systems to guarantee adherence to the Capital Markets Act, the Central Depositories Act, and all associated regulatory provisions.
Formulate strategies to mitigate risks of legal infractions and internal policy breaches, encompassing oversight of adherence to operational and procedural guidelines.
Offer expert recommendations to facilitate the drafting and refinement of internal policies, ensuring full compliance with applicable legal requirements.
Develop and execute structured frameworks to oversee adherence by Central Depository Agents to relevant statutory and regulatory provisions.
Compile and file regular compliance reports for the Board, incorporating findings on significant regulatory violations.
Lead the resolution and arbitration of disputes, ensuring strict adherence to regulatory standards and compliance requirements.
Guarantee adherence to all statutory requirements and internal guidelines mandated by regulatory authorities and corporate policies within the capital markets sector.
Monitor and communicate any new or upcoming regulatory changes to the organization promptly.
Provide leadership and direction to staff in fulfilling their compliance responsibilities, while proactively identifying corrective and preventive measures to eliminate or reduce potential or existing non-compliance risks.
The role involves identifying, assessing, and mitigating potential risks to safeguard organizational assets and ensure compliance with regulatory standards. Key responsibilities include developing and implementing risk management frameworks, conducting thorough risk evaluations, and creating strategies to minimize exposure. Strong analytical skills are essential to interpret data and anticipate emerging risks, while effective communication is required to report findings and recommend solutions to stakeholders. Familiarity with industry-specific regulations and risk assessment methodologies is a prerequisite, along with the ability to collaborate across departments to integrate risk management into business operations.
Develop, implement, and continuously enhance risk management strategies and annual operational plans to ensure alignment with organizational objectives and regulatory standards.
Oversee the development, review, and consistent implementation of policies, procedures, and annual strategic plans pertaining to risk management across all organizational divisions.
Provide leadership and supervision for the execution of the risk framework across the organization, encompassing risk evaluations, assessments of the control environment, and the development and tracking of action plans.
Prepare comprehensive risk assessments and present key findings to senior management, the Audit and Risk Committee, and relevant external stakeholders as needed.
Conduct thorough risk assessments by analyzing exposures, identifying control breaches, evaluating new developments, and documenting corresponding action plans.
Analyze emerging trends and advancements in risk management practices while ensuring timely dissemination of these insights to relevant stakeholders.
Deliver expert guidance, facilitate comprehensive training sessions, and develop educational initiatives to foster a robust business-wide comprehension of risk management principles among staff and key stakeholders.
Policy development involves crafting, reviewing, and updating policies to ensure they align with organizational objectives and regulatory requirements. This role demands a strong understanding of policy frameworks, stakeholder engagement, and compliance standards. Responsibilities include conducting thorough research, analyzing data, and drafting clear, actionable policies that address emerging risks and industry best practices. Collaboration with cross-functional teams, legal advisors, and senior leadership is essential to foster alignment and ensure policies are effectively implemented. Strong analytical, communication, and project management skills are required, along with experience in policy analysis or a related field.
Offer strategic direction in formulating and executing policy priorities and initiatives in collaboration with members of the Executive Committee.
Work collaboratively with senior leadership to establish and sustain strong relationships with critical policymakers and key influencers.
Evaluate internal policies and procedures to determine their legal implications, providing strategic guidance to management to ensure compliance and mitigate risk.
Ensure full compliance of all contracts, agreements, and internal policies with applicable statutory and regulatory mandates.
Perform or arrange for necessary research on policy-related matters as required.
We are seeking a dedicated professional to oversee and enforce data protection protocols, ensuring compliance with relevant regulations and safeguarding sensitive information. The ideal candidate will implement robust security measures, conduct regular risk assessments, and develop policies to mitigate potential threats. Responsibilities include monitoring data access, training staff on best practices, and managing incident response procedures. Requirements encompass a strong understanding of data privacy laws, proficiency in security frameworks, and prior experience in a similar role. Strong analytical skills and attention to detail are essential to identify vulnerabilities and maintain the integrity of our systems.
Provide guidance to management and staff regarding compliance with data processing obligations as stipulated under the Data Protection Act 2019 and relevant regulatory frameworks.
Ensure full compliance with the Data Protection Act 2019, acting in both Data Controller and Data Processor capacities to uphold regulatory standards.
Provide training and development opportunities to enhance the skills of personnel engaged in data processing functions.
Provide guidance on data protection impact assessments to ensure compliance with relevant regulations and organizational policies.
Collaborate with the Data Commissioner and other pertinent authorities regarding all aspects of data protection compliance.
Requirements for this role include holding a bachelor’s degree in a relevant field, with a minimum of three years of professional experience in a similar capacity. Additionally, candidates must demonstrate proficiency in specific software tools, such as advanced Excel and data analysis platforms, along with strong analytical and problem-solving abilities. Excellent written and verbal communication skills are essential, as the position requires collaboration with cross-functional teams and clear presentation of findings. The ability to work independently, prioritize tasks effectively, and meet deadlines under pressure is also required.
A law degree from an accredited university is required.
Obtained a Postgraduate Diploma in Law from the Kenya School of Law.
A Master’s degree in a relevant field from an accredited university will be considered advantageous.
A minimum of seven years of relevant professional experience, including at least three years in a leadership or supervisory role, is required.
A strong candidate will possess a Bachelor’s degree from an accredited institution, along with at least three years of relevant work experience in the field. Proficiency in industry-standard software and tools is required, and certification in a specialized area is preferred. Excellent verbal and written communication skills are essential, as is the ability to collaborate effectively within a team environment. Strong problem-solving abilities and a commitment to continuous learning are also necessary for success in this role.
Dedicated professional qualified as an Advocate of the High Court of Kenya, possessing in-depth expertise in Kenyan legal frameworks and judicial procedures.
Qualified as a member of the Law Society of Kenya, demonstrating adherence to professional standards and ethical obligations within the legal profession.
Seeking a Certified Public Secretary (CPS) credential, as this role demands expertise in corporate governance, compliance, and administrative oversight. The position requires proficiency in preparing and filing corporate documentation, maintaining regulatory filings, and ensuring adherence to statutory obligations. Additionally, the ideal candidate will demonstrate strong organizational skills, meticulous attention to detail, and the ability to manage multiple priorities efficiently in a fast-paced environment.
Ability to communicate effectively, both verbally and in writing, ensuring clarity and professionalism in all interactions. Strong interpersonal skills to collaborate seamlessly with cross-functional teams and stakeholders at all levels. Proficiency in problem-solving and analytical thinking to identify issues, develop solutions, and implement improvements. Demonstrated leadership capabilities to guide teams, drive initiatives, and foster a positive work environment. Adaptability to navigate changing priorities and dynamic business landscapes with resilience and agility. Commitment to continuous learning and professional development to stay current with industry trends and best practices.
Exceptional proficiency in preparing, analyzing, and clarifying legal documents and instruments is essential.
Proven expertise in conducting risk assessments and ensuring adherence to regulatory standards across varied compliance frameworks.
Proficiency in capital markets regulation—particularly the rules and procedures governing Kenya’s capital markets’ ecosystem—will be a significant asset.
Proficiency in ongoing capital markets regulation and development represents a valuable asset.
Exceptional interpersonal abilities, with a proven capacity to mediate conflicts and facilitate effective dispute resolution.
Proven ability to articulate ideas clearly and effectively, both verbally and in writing, ensuring precision and professionalism in all interactions.
Demonstrates unwavering discretion and sensitivity when handling confidential and privileged information, ensuring all details remain secure and protected at all times.
Able to maintain a consistent standard of excellence while working efficiently in a high-pressure setting.
Dedication to ongoing professional growth and maintaining current knowledge of industry developments is essential.
They demonstrate a constructive, collaborative, and proactive approach, consistently seeking solutions to challenges.
Qualifications
BA/BSc/HND , Diploma , MBA/MSc/MA
Experience Required
7 years
