Job Description
Our client, a well-established 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 standing, and enterprise risk agenda.
Reporting to the Chief Executive Officer, this critical position serves as a key link between legal advisory, regulatory compliance, and risk management, aligning the company’s operational practices with the dynamic requirements of Kenya’s capital markets regulatory environment.
This position is designed to uphold the organization’s adherence to a strong legal and compliance framework while actively mitigating risk across all business segments. The Manager of Legal, Risk, and Compliance will integrate legal strategy, regulatory governance, data protection measures, and policy formulation with the organization’s broader strategic goals—providing executive leadership with precise, evidence-based counsel to effectively steer operations within today’s intricate and highly regulated capital markets landscape.
Job Responsibilities
The Legal Affairs department is responsible for ensuring compliance with all applicable laws, regulations, and internal policies while providing expert legal counsel to the organization. This role requires a Juries Doctor (J.D.) degree from an accredited institution, active membership in a state bar association, and a minimum of five years of progressive legal experience, preferably within a corporate or in-house legal environment. Key responsibilities include drafting and reviewing contracts, managing litigation matters, advising on regulatory issues, and mitigating legal risks to safeguard the company’s interests. Additionally, the position demands strong analytical skills, meticulous attention to detail, and the ability to communicate complex legal concepts clearly to non-legal stakeholders.
Provide strategic guidance to the Board and Management on the 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.
Demonstrate leadership in delivering internal legal support to projects and divisions companywide.
Provide strategic direction for critical legal initiatives involving the preparation, negotiation, and finalization of commercial agreements, ensuring compliance with applicable laws and regulations.
Review all contracts and documentation to evaluate potential legal risks and ensure compliance with applicable regulations, promptly elevating any issues that warrant Executive Committee review for resolution.
Review, revise, and draft contractual documents to facilitate and enhance diverse business operations and transactions.
Maintain accurate and current records of all legal information and data while ensuring the secure preservation of legal documents and contracts.
You will deliver strategic legal counsel and conduct comprehensive research on issues pertinent to the organization as well as the wider capital markets landscape.
Oversee and coordinate ongoing legal disputes in collaboration with external legal counsel.
Deliver legal guidance, clarify pertinent regulations, and ensure staff comprehension through targeted training initiatives while facilitating the distribution of essential legal requirements.
Overseeing regulatory compliance represents a critical function within the organization, ensuring that all products, processes, and operations adhere to applicable laws, regulations, and industry standards. This role involves preparing, filing, and maintaining regulatory submissions, including licenses, permits, and approvals, while monitoring changes in legislation to assess their potential impact on business operations. Collaboration with cross-functional teams—such as legal, manufacturing, quality assurance, and research and development—is essential to integrate regulatory considerations into strategic decision-making. Additionally, the position requires evaluating risk assessments, addressing regulatory inquiries from authorities, and managing post-market surveillance to uphold product safety and efficacy. Strong attention to detail, analytical thinking, and the ability to interpret complex regulatory frameworks are indispensable for success in this role. Proficiency in regulatory databases, submission software, and effective communication skills are also necessary to facilitate seamless interactions with regulatory agencies and stakeholders.
Verify compliance with all applicable laws and regulatory authority requirements consistently and without exception.
Oversee the compilation and submission of all necessary regulatory documentation to ensure compliance with applicable standards and timelines.
Prepare and distribute informative resources highlighting key legislative advancements for senior leadership and pertinent policymakers.
Interpret evolving regulatory requirements and integrate them into corporate policies and procedures to ensure compliance.
Offer guidance to project teams regarding regulatory obligations and identify the necessary regulatory submissions or internal documentation based on those requirements.
Responsible for managing the compilation and ongoing upkeep of regulatory documentation, databases, and related systems.
Cultivate and safeguard the organization’s reputation and brand identity by designing and executing forward-thinking corporate communication strategies.
Oversee the operations of external agencies and internal departments tasked with crafting and executing communication strategies and information initiatives for the organization.
Coordinate the organisation’s relationships with regional and international partners.
Ensures adherence to all applicable legal statutes, regulatory mandates, and internal policies to mitigate organizational risk and maintain operational integrity. Oversees compliance with federal, state, and local regulations governing business operations, including data protection, labor laws, and industry-specific requirements. Conducts regular audits, risk assessments, and training programs to identify gaps, enforce standards, and foster a culture of compliance across all departments. Collaborates with legal counsel, senior management, and external stakeholders to interpret evolving regulatory frameworks and implement necessary adjustments. Maintains comprehensive documentation of compliance activities, incidents, and corrective actions for audit purposes and regulatory reporting.
Oversee and administer control systems to verify adherence to the Capital Markets Act, Central Depositories Act, and associated regulatory frameworks.
To craft and implement measures that avert breaches of legal regulations and internal guidelines, while conducting oversight to ensure adherence to all operational and procedural manuals.
Offer counsel on the formulation of internal policies to guarantee compliance with applicable legal standards.
Develop and execute structured systems to oversee the adherence of Central Depository Agents to relevant rules and regulations.
Compose and deliver regular compliance reports to the Board, ensuring documentation of any significant regulatory violations.
Orchestrate the resolution and arbitration of disputes to uphold regulatory compliance.
The role involves maintaining adherence to all governmental regulations and internal corporate policies relevant to the capital markets sector.
Monitor and promptly communicate to the organization any new or impending regulatory changes that may impact operations.
Supervise employees as they execute their compliance responsibilities, developing corrective and preventive measures to address potential or existing non-compliance risks.
We are seeking a skilled Risk Management professional to identify, assess, and mitigate potential risks that could impact our organization. The ideal candidate will possess strong analytical skills, a deep understanding of risk assessment methodologies, and the ability to develop effective risk mitigation strategies. Responsibilities include conducting thorough risk evaluations, implementing risk control measures, and ensuring compliance with relevant regulations. Additionally, the role requires collaborating with various departments to foster a culture of risk awareness and providing training to enhance risk management practices across the organization.
Formulate, oversee, and execute comprehensive strategies and yearly initiatives focused on risk management and associated functions.
Review and uphold policies, procedures, and annual strategic plans pertaining to risk management across all organizational divisions to ensure consistency and compliance.
You will be responsible for supervising and tracking the execution of the risk framework across the organization, encompassing risk assessments, evaluations of the control environment, and the 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 comprehensive risk assessments by analyzing and documenting potential exposures, control breaches, emerging developments, and corresponding action plans to mitigate identified risks effectively.
Monitor industry trends and disseminate updates on evolving risk management best practices to relevant stakeholders.
Offer expert counsel, deliver tailored training initiatives, and develop educational programs to cultivate a comprehensive grasp of risk management principles among employees and essential stakeholders.
This role involves crafting and refining organizational policies to ensure compliance, efficiency, and alignment with strategic objectives. Key responsibilities include analyzing existing frameworks, drafting clear and actionable policy documents, and collaborating with stakeholders to gather input and secure approval. The position requires a keen understanding of regulatory requirements, strong research skills, and the ability to communicate complex concepts in accessible language. Proficiency in policy analysis, attention to detail, and experience in a related field are essential, along with the capacity to adapt policies in response to evolving industry standards and organizational needs.
Offer strategic guidance in the formulation and execution of policy priorities and initiatives in collaboration with members of the Executive Committee.
Work in partnership with senior leadership to establish and nurture connections with pivotal policymakers and influential stakeholders.
Assess and provide guidance to management regarding the legal consequences associated with internal policies and procedures.
Review and maintain adherence to all contracts, agreements, and internal policies, ensuring full compliance with statutory and regulatory obligations.
Perform or arrange for research initiatives to address policy-related matters as required.
Ensure the safeguarding and integrity of organizational data through robust security measures, compliance with relevant regulations, and proactive risk mitigation strategies. Collaborate with cross-functional teams to implement and enforce data protection policies, conduct regular audits, and provide staff training to foster a culture of security awareness. Monitor emerging threats, assess vulnerabilities, and recommend enhancements to existing protocols to maintain the confidentiality, availability, and accessibility of critical information assets.
Provide guidance to management and staff regarding data processing obligations in accordance with the Data Protection Act 2019 and other relevant regulatory frameworks.
Maintain organizational adherence to the Data Protection Act 2019, fulfilling obligations as both a Data Controller and a Data Processor.
Promote and oversee the development of staff skills and competencies essential for efficient data processing operations.
Offer guidance on conducting data protection impact assessments to identify and mitigate potential risks associated with data processing activities.
Collaborate with the Data Commissioner and other pertinent authorities on all aspects pertaining to data protection.
Minimum Requirements include a Bachelor’s degree in a relevant field, along with at least three years of professional experience in a related industry. Strong analytical and problem-solving skills are essential, as well as proficiency in industry-specific software and tools. Excellent communication and teamwork abilities are required to collaborate effectively with cross-functional teams. Familiarity with project management methodologies and frameworks is a must. Additionally, candidates should possess a solid understanding of compliance standards and regulatory requirements pertinent to the role.
A recognized university must confer a Bachelor’s degree in Law as a fundamental requirement.
Holders of a Postgraduate Diploma in Law awarded by the Kenya School of Law are invited to apply.
A Master’s degree in a relevant field from an accredited university is highly desirable.
A minimum of seven (7) years of pertinent professional experience is required, including at least three (3) years in a leadership or supervisory role.
Seeking a candidate with a proven track record in the field, holding relevant certifications or degrees as required by the role. Must demonstrate extensive experience and expertise through hands-on work or academic achievements. Strong analytical, technical, and interpersonal skills are essential to excel in this position, along with a commitment to continuous professional development. Familiarity with industry standards, regulations, and best practices is mandatory to ensure compliance and optimal performance.
Advocate of the High Court of Kenya, holding a valid license to practice law in Kenya, with a deep understanding of the Kenyan legal system and substantial experience in litigation and legal advisory roles.
A registered affiliate of the Law Society of Kenya.
A Certified Public Secretary (CPS) credential is required for this position. Responsibilities include ensuring compliance with corporate governance regulations, maintaining accurate and up-to-date records, and facilitating effective communication between the board of directors and stakeholders. Candidates must possess strong organizational skills, attention to detail, and the ability to manage multiple priorities in a fast-paced environment. Additionally, proficiency in corporate governance practices, board meeting preparation, and minute-taking is essential. A minimum of two years of relevant experience in a corporate or legal setting is preferred.
Demonstrates strong analytical and problem-solving skills, with the ability to interpret complex data and derive actionable insights. Exhibits excellent communication and interpersonal abilities, fostering collaboration across teams and stakeholders. Proven leadership experience, driving projects to successful completion while mentoring and motivating team members. Adept at strategic planning and execution, aligning initiatives with organizational goals. Maintains a results-driven mindset, consistently delivering high-quality outcomes under tight deadlines. Possesses advanced technical proficiency in relevant tools and systems, ensuring efficient and accurate work processes.
Exceptional skill in preparing, evaluating, and understanding legal documents and instruments with precision.
Proficient in conducting risk assessments and ensuring adherence to regulatory standards across varied compliance frameworks.
Proficiency in capital markets regulation—specifically, the rules and frameworks governing Kenya’s capital markets’ ecosystem—would provide a significant competitive edge.
Continuous capital markets regulation and development training and skills would be beneficial.
Exceptional interpersonal skills enable effective mediation and facilitation of dispute resolution.
Proficient in both verbal articulation and written correspondence, with a strong ability to convey ideas clearly and effectively.
Requires utmost discretion and sensitivity to maintain strict confidentiality regarding privileged information.
Able to maintain high standards of quality and productivity under pressure in a dynamic setting.
Demonstrates a strong dedication to ongoing professional growth and staying informed about emerging developments within the industry.
Positive, collaborative, and solutions-oriented attitude.
Qualifications
BA/BSc/HND , Diploma , MBA/MSc/MA
Experience Required
7 years
