Responsibilities for the Legal & Compliance Officer Job
Facilitating Legal Compliance supervision and assessment to ensure compliance with the Capital Markets Act, Retirement Benefits Act and subsequent regulations and on all facets of Law
Co-coordinating investor administration including reviewing investor communication, keeping compliance registers, Know your Client ‘KYC’ files, etc
Providing strategic legal advice to the business
Facilitating Compliance Audits and developing Compliance checks on all facets of Law affecting the business and being the point of contact with the Capital Markets and Retirement Benefits Authority
Developing elaborate anti-money laundering checks and procedures in line with the relevant legislation and ensuring strict adherence to the same
Ensuring staff members conform to industry practices and professional standards in all activities, with specific practices and standards
Investigating and resolving compliance issues, implementing procedures for monitoring compliance guidelines, maintaining files and databases of all records relating to compliance and risk
Implement a risk-based compliance monitoring perational risk framework to enable senior management to effectively understand, manage, monitor, and mitigate the firm’s various compliance and regulatory risks
Liaising with relevant departments where legal risks have been identified, to develop mitigating measures and implement remedial action
Conducting legal risk analysis and provide legal support for new and ongoing investment funds
Contract drafting, review, negotiation and management
Managing external legal counsel and regulatory service providers
Any other task that may be assigned from time to time
Legal & Compliance Officer Job Requirements
A Upper Second Bachelor of Laws degree (LL.B) from a recognized University
Must have attained a B+ and above in O levels/ high school
Be admitted as an advocate of the High Court of Kenya and possess a current practicing certificate
Graduate degrees in finance, business administration, commerce, economics or equivalent shall also be considered; while professional qualifications such as CPA, CFA, CS or membership to a relevant professional body shall be considered to be an additional advantage to an applicant
A minimum of three years of advocate post-admission, corporate and commercial law experience
Creative, commercial legal thinking and appreciation of the business aspects in their application of the law
Broad knowledge of principles, procedures, and best practices involving compliance, operations and general business record keeping
Good understanding of risk management and ability to advice on global best practices
Ability to pro-actively and creatively manage potential legal issues for regulated entities
Excellent communication, influencing and interpersonal skills
High levels of energy and enthusiasm and ability to work long hours and under pressure
High integrity
go to method of application »
