Job Description
Our client, a leading 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 standards, regulatory compliance, and enterprise risk management strategy.
Reporting directly to the Chief Executive Officer, this critical position serves as a key liaison between the organization’s operational strategies and the dynamic regulatory framework governing Kenya’s capital markets, integrating legal expertise, compliance oversight, and risk management to align corporate objectives with evolving governance standards.
This position is designed to uphold a strong legal and compliance foundation for the organization while actively identifying and mitigating risks across all business segments. The Manager, Legal, Risk and Compliance will integrate legal strategy, regulatory oversight, data protection measures, and policy formulation with the company’s overarching goals—providing executive leadership with precise, evidence-based counsel to effectively address the evolving complexities and heightened regulatory demands of the capital markets landscape.
We are seeking a dedicated professional to oversee and execute a range of critical tasks essential to our operational success. The role involves managing daily activities to ensure efficiency and alignment with organizational goals, as well as collaborating with cross-functional teams to drive project completion. Additionally, the position requires maintaining accurate records, analyzing performance metrics to identify trends, and implementing process improvements where necessary. Strong organizational skills and attention to detail are imperative, as are the ability to prioritize tasks effectively and meet deadlines consistently. Knowledge of relevant industry standards and compliance regulations is also required to uphold operational integrity and mitigate risks.
The Legal Affairs department is responsible for providing comprehensive legal support and guidance to the organization, ensuring compliance with all applicable laws and regulations. Key responsibilities include drafting, reviewing, and negotiating contracts, managing legal risks, and offering strategic advice to senior management on legal matters. The role requires a Juries Doctor (JD) degree from an accredited law school, active membership in a state bar association, and a minimum of five years of relevant legal experience. Strong analytical, negotiation, and communication skills are essential, along with the ability to interpret complex legal documents and provide clear, actionable recommendations. Familiarity with corporate governance, regulatory compliance, and dispute resolution is highly preferred.
Provide expert guidance to the Board and Management on the interpretation of capital markets laws, regulations, rules, and guidelines.
Collaborate closely with external legal counsel to oversee the provision of essential legal services to the organization, ensuring alignment with strategic objectives and regulatory requirements.
Deliver strategic guidance and oversee legal assistance internally across every project and division.
Provide strategic leadership for critical legal functions, including preparation, negotiation, and finalization of commercial settlement agreements, to ensure alignment with organizational objectives and regulatory standards.
Evaluate all contracts and associated documentation to identify any legal considerations, and promptly elevate issues necessitating Executive Committee intervention.
Review and revise contractual documents to facilitate and enhance diverse business operations.
Maintain accurate and current records of all legal information and data while ensuring the protection and integrity of legal documents and contracts.
Offer expert legal counsel and conduct comprehensive research on organizational and broader capital market matters.
Monitor and manage outstanding litigation in liaison with external lawyers.
Interpret legal information, provide guidance, conduct legal training sessions, and ensure staff are informed of applicable legal requirements.
Responsible for overseeing compliance with all applicable regulatory requirements, ensuring adherence to federal, state, and international laws governing product development, manufacturing, and distribution. Duties include preparing and submitting regulatory documentation, conducting thorough reviews of submissions to minimize risks of delays or rejections, and maintaining open communication with regulatory agencies to resolve inquiries. Additionally, collaborates with cross-functional teams, including R&D, Quality Assurance, and Legal, to align business objectives with regulatory expectations. Stays current with evolving regulations and industry standards to proactively identify and address compliance gaps.
Ensure ongoing compliance with all applicable regulatory obligations and requirements established by relevant authorities throughout all operations.
Oversee the organization, compilation, and submission of all necessary regulatory documentation and filings.
Craft and distribute informative resources detailing legislative updates to senior leadership and pertinent policymakers.
Review and incorporate updates to regulatory guidelines into organizational policies and procedures to maintain compliance and operational alignment.
Provide guidance to project teams regarding regulatory obligations and assess the necessary regulatory submissions or internal documentation for compliance.
Responsible for managing the preparation and upkeep of regulatory documentation, databases, and systems.
Create and execute forward-thinking corporate communication strategies to reinforce and elevate the organization’s positive image and identity.
Oversee the operations of external agencies and internal departments responsible for designing and executing communication strategies and information initiatives for the organization.
Facilitate strategic partnerships between the organization and regional and international stakeholders.
Ensures adherence to all relevant legal statutes, regulatory standards, and industry-specific requirements. Develops, implements, and maintains compliance programs to mitigate risks and ensure organizational adherence. Conducts regular audits, assessments, and training sessions to promote a culture of compliance. Collaborates with cross-functional teams to interpret and apply regulatory changes effectively. Monitors emerging legal and regulatory developments to proactively address potential compliance gaps. Serves as a primary point of contact for regulatory inquiries and coordinates responses to ensure timely resolution.
Oversee control systems to verify adherence to the Capital Markets Act, the Central Depositories Act, and all associated regulatory provisions.
To formulate and implement strategies aimed at preventing breaches of legal regulations and internal policies, while ensuring ongoing adherence to all operational and procedural manuals.
Offer strategic direction in the formulation of internal policies to guarantee compliance with applicable legal requirements.
Develop and deploy structured systems to oversee adherence by Central Depository Agents to all relevant statutory and regulatory provisions.
Craft and deliver regular compliance reports to the Board, ensuring inclusion of any significant regulatory violations.
Lead dispute resolution and arbitration initiatives to uphold regulatory adherence and ensure compliance with established standards.
Ensure that the organization adheres strictly to all government regulations and internal company policies relevant to the capital markets sector.
Ensure the organization remains updated on emerging and forthcoming regulatory changes.
Supervise employees in fulfilling their compliance obligations, proactively identifying corrective and preventive measures to address potential or existing non-compliance risks.
Risk professionals are tasked with identifying, evaluating, and mitigating potential threats to an organization’s financial stability, operational continuity, and strategic objectives. They analyze market trends, regulatory changes, and internal vulnerabilities to develop proactive strategies that minimize exposure to risks such as fraud, cybersecurity breaches, and supply chain disruptions. This role requires a keen understanding of risk assessment methodologies, strong analytical skills, and the ability to communicate complex findings to stakeholders at all levels. Additionally, candidates must possess relevant certifications, such as Certified Risk Manager (CRM) or Financial Risk Manager (FRM), along with a proven track record in risk mitigation or compliance within a corporate or financial setting.
Develop, implement, and consistently refine strategies and annual plans dedicated to risk management and associated initiatives.
The responsibilities include overseeing and updating policies, procedures, and annual plans related to risk management for all organizational divisions. This role requires consistent evaluation and maintenance to ensure alignment with governance standards and organizational objectives.
Provide oversight and ensure the consistent implementation of the risk framework across the organization, encompassing risk evaluations, assessments of the control environment, and the development of action plans.
Provide comprehensive updates regarding risk-related issues to senior management, the Audit and Risk Committee, and external stakeholders as needed.
Conduct thorough risk assessments by analyzing and documenting exposures, identifying control breaches, evaluating new developments, and formulating corresponding action plans.
Monitor industry trends and advancements in risk management practices, ensuring the latest developments are accurately identified and effectively communicated to relevant stakeholders.
Deliver coaching, instructional initiatives, and educational offerings to foster a comprehensive grasp of risk management principles among employees and essential stakeholders.
We are seeking a skilled professional to lead the creation and implementation of comprehensive policy frameworks. This role involves researching regulatory requirements, analyzing industry trends, and drafting clear, actionable policies to ensure organizational compliance and risk mitigation. The ideal candidate will possess strong analytical abilities, exceptional writing proficiency, and a deep understanding of policy development processes. Responsibilities include collaborating with stakeholders, conducting impact assessments, and continuously monitoring policy effectiveness to recommend enhancements. Experience in a relevant field and proficiency in policy analysis tools are essential, along with the ability to communicate complex concepts effectively to diverse audiences.
Offer strategic direction by collaborating with members of the Executive Committee to formulate and execute key policy priorities and initiatives.
Partner with senior leadership to cultivate and sustain strategic connections with pivotal policymakers and influential stakeholders.
Review and advise management on the legal implications of internal policies and procedures.
Ensure full compliance of all contracts, agreements, and internal policies with applicable statutory and regulatory mandates.
Perform or arrange for research on relevant policy matters as needed.
Protecting sensitive information and ensuring compliance with data privacy regulations are critical responsibilities assigned to this position. The role involves implementing and maintaining robust security measures to safeguard organizational data against unauthorized access, breaches, or loss. Key duties include developing and enforcing data protection policies, conducting regular risk assessments, and providing employee training on best practices for handling confidential information. The ideal candidate will have a strong background in cybersecurity, a thorough understanding of GDPR, CCPA, or other relevant data protection laws, and proficiency in tools such as encryption software and access controls. Excellent analytical skills and attention to detail are essential to identify vulnerabilities and mitigate potential threats effectively.
Advise leadership and staff on compliance obligations under the Data Protection Act 2019 and other relevant regulatory frameworks.
Ensure full compliance with the Data Protection Act 2019 in all capacities, serving as both a Data Controller and a Data Processor within the organization.
Provide training and development initiatives to enhance the skills and competencies of staff engaged in data processing activities.
Provide guidance on conducting data protection impact assessments to ensure compliance with relevant regulations and organizational policies.
Collaborate with the Data Commissioner and other pertinent authorities regarding all data protection initiatives and compliance matters.
Minimum education requirement includes a bachelor’s degree in a relevant field or equivalent professional experience. Candidates must possess at least three years of relevant work experience in a related industry. Strong proficiency in industry-standard software and tools is essential. Excellent written and verbal communication skills are required. The ability to work collaboratively in a team-oriented environment is critical. Problem-solving capabilities and adaptability to evolving priorities are necessary. Familiarity with project management methodologies is a plus. Candidates should demonstrate a commitment to continuous learning and professional development.
A law degree from an accredited university is required.
Holders of a Postgraduate Diploma in Law issued by the Kenya School of Law are required for this role.
A relevant Master’s degree from an accredited university will be considered an additional asset.
Seven (7) years of cumulative professional experience, including a minimum of three (3) years in a leadership or supervisory role, is required.
Seeking a candidate with a strong academic background and specialized training relevant to the role, including an advanced degree or relevant certifications, along with a minimum of five years of hands-on experience in the field. The ideal applicant will demonstrate expertise in key methodologies, compliance standards, and industry best practices, ensuring alignment with organizational objectives. Strong problem-solving abilities, meticulous attention to detail, and the capacity to work effectively under pressure are essential.
Dedicated professional admitted to practice as an Advocate of the High Court of Kenya, holding the necessary qualifications and credentials to represent clients in legal matters before this esteemed judicial forum.
Holding active membership with the Law Society of Kenya.
Seeking a Certified Public Secretary (CPS) to perform essential administrative and compliance duties in a professional setting. The ideal candidate must possess the CPS credential and demonstrate proficiency in managing corporate records, ensuring regulatory adherence, and facilitating board communications. Responsibilities include preparing and filing official documents, maintaining minute books, coordinating meetings, and supporting corporate governance initiatives. Strong organizational skills, attention to detail, and the ability to work independently are required. Familiarity with corporate compliance standards and exceptional written and verbal communication abilities are also essential for success in this role.
Demonstrated expertise in critical competencies ensures the successful fulfillment of responsibilities. These include the ability to analyze complex information, solve problems efficiently, and communicate findings clearly. Strong leadership skills are required to guide teams toward achieving organizational goals. Adaptability in dynamic environments and a commitment to continuous learning are essential. Additionally, proficiency in relevant technical tools and software is necessary to perform duties effectively.
Demonstrated proficiency in preparing, analyzing, and interpreting a variety of legal documents and instruments with precision and clarity.
Proficiency in conducting comprehensive risk assessments and ensuring adherence to various regulatory frameworks is essential.
Proficiency in capital markets regulation—particularly the rules and frameworks governing Kenya’s capital markets’ ecosystem—will be highly advantageous.
Proficiency in ongoing capital markets regulations and evolving industry developments will be viewed favorably.
Exceptional interpersonal abilities, coupled with a talent for mediating and facilitating conflict resolution.
Proven ability to communicate effectively both verbally and in writing.
Must exercise the utmost discretion and sensitivity to maintain strict confidentiality of privileged information at all times.
Able to maintain a high standard of quality and consistency while working efficiently in a dynamic and demanding setting.
Demonstrates a dedication to ongoing professional growth and maintaining current knowledge of industry developments.
Enthusiastic, team-focused, and proactive in resolving challenges, fostering an environment where cooperation and innovative problem-solving thrive.
Qualifications
BA/BSc/HND , Diploma , MBA/MSc/MA
Experience Required
7 years
