Position Overview:
The Legal Officer plays a pivotal role as corporate counsel at Dry Associates Investment Bank, actively advising on all legal matters. This position involves collaborating with management to ensure legal compliance and enhance the overall effectiveness of the company. While the role encompasses various aspects of legal affairs, it primarily focuses on three core areas: Private Wealth, Investment Banking, Compliance, and Litigation.
Responsibilities:
Private Wealth:
Provide a range of legal services to our Private Wealth clients.
Offer legal support in Eldercare services, including trusts, wills, power of attorney, etc.
Assist clients with succession and estate planning.
Handle asset and real estate conveyancing matters.
Prepare contracts and legal documentation.
Develop an outreach program to encourage the utilization of the company’s legal services.
Create monthly bulletins addressing matters of interest to clients, with a particular focus on elderly clients.
Investment Banking:
Collaborate closely with origination and research staff to prepare legal documentation for in-house security issuances.
Review legal documentation when external counsel is engaged, especially in transactions where the company acts as a Transaction Advisor.
Ensure timely preparation and issuance of continuing reporting documentation for issuers.
Navigate legal complexities related to the company’s involvement in fixed income and equity issuances.
Oversee the legal aspects of listings, securities trading, and private equity transactions.
Maintain a systematic check-off system for periodic review of critical legal documentation.
Compliance:
Ensure the company’s continuous compliance with rules and regulations governing investment banking.
Liaise with regulatory authorities such as the Capital Markets Authority, Retirement Benefits Authority, Financial Reporting Centre (FRC), and the Nairobi Securities Exchange.
Monitor and enforce strict compliance with anti-money laundering and terrorism finance regulations.
Conduct regular staff training on compliance matters and emerging relevant laws.
Conduct due diligence on high-risk clients and those from high-risk jurisdictions.
Address evolving compliance requirements, including FATCA and cross-border tax compliance.
Litigation:
Organize and maintain all legal files for accessibility and completeness.
Prepare documentary evidence for use by external counsel in litigation.
Collaborate with external counsel to expedite cases to a timely conclusion.
Attend court sessions and provide regular updates to company management.
Develop winning legal strategies in consultation with Company management.
Assist in the preparation of witness statements, including those from current or former staff.
Familiarize yourself with the Company’s professional indemnity insurance and advise on its utilization when necessary.
Accountabilities:
Private Wealth: Generate commissions equivalent to at least three times (3x) the annual base salary by the end of the year.
Investment Banking: Maintain a systematic check-off system to ensure periodic review of critical legal documentation for issuers, including CP, bonds, fixed deposit receipt programs, account opening forms, and other legal documentation.
Compliance: Ensure the company maintains continual compliance with all relevant rules and regulations, promptly addressing new compliance requirements to avoid any violations.
Litigation: Collaborate actively with external counsel to expedite litigation cases, minimizing the impact on the company’s resources and reputation.
Reporting Relationship:
The Legal Officer will report to the General Manager, Back & Middle Offices.
Qualifications:
Bachelor’s degree in Law (LLB).
Licensed to practice law in Kenya.
1 year of legal experience, preferably in the financial industry.
Strong knowledge of financial regulations and compliance.
Exceptional written and verbal communication skills.
Ability to work collaboratively with cross-functional teams.
Proactive, detail-oriented, and able to manage multiple tasks simultaneously.
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