Head, Legal & Compliance
JOB DUTIES & RESPONSIBILITIES
- Provide legal advisory support to the company and management on all matters.
- Create, implement, administer, and enforce policies, procedures and rules required to operate in accordance with the law and regulations.
- Oversee and educate team members on best practices.
- Develop an internal framework for maintaining compliance across all departments.
- Establish and update compliance manuals where necessary.
- Advise on general business law issues and managing legal issues including but not limited to corporate matters, information technology, IP rights, procurement, regulation, tax considerations and governance.
- Advise on data protection compliance including policy updates, data audits, data breach processes, writing and issuing privacy notices.
- Keep up to date with, and understand, relevant laws and regulations.
- Collaborate with other departments to create a culture of compliance.
- Where appropriate, appoint, brief, manage and oversee external lawyers, legal advisors and clients.
- Monitor compliance with statutory obligations and advise management accordingly.
- Facilitate and manage regulatory compliance-related initiatives, particularly with Anti-Money Laundering and Countering Financial Terrorism (AML/CFT) regulations.
- Facilitate the holding of Board Meetings and Annual General Meetings and ensure notice is timeously sent out to Board members and Shareholders.
- Prepare minutes of all Board meetings.
- Facilitate the preparation of all Board papers and ensure it is circulated timeously.
- Maintain proper statutory records of the Board and corporate information of the Company.
- Convene annual general meetings (AGM)/meetings (producing agendas, taking minutes, conveying decisions etc.
- Keep register of shareholders and liaise with them on behalf of the company.
- Manage the legal budget.
- Build and maintain relationship with government officials and third parties: initiate or attend meeting with external parties and share any update with legal department, Internal departments and management teams, visit to relevant authority or third party for clarification and documentation.
- Review of Memorandum of understandings and service level agreements with third parties/corporate vendors.
- Periodic monitoring of Corporate Governance issues.
- Liaise with the Risk Department in ensuring company-wide compliance with company policies.
- Prepare periodic reports such as weekly, monthly, quarterly and annually as required.
EDUCATIONAL & PROFESSIONAL QUALIFICATION
- Bachelor of Laws (LL.B.)
- Must possess Master of Laws (LL.M)
- Minimum of 12 years post-bar experience with at least 5 in financial services or capital market operations.
- Strong relationship with regulatory bodies (i.e. SEC).
- MSc will be an added advantage
COMPETENCY REQUIREMENTS
- Excellent writing skills.
- Strong leadership and decision-making abilities
- Proactive and solutions oriented.
- Excellent interpersonal and relationship-building skills.
- Outstanding written and oral communication skills, with the ability to communicate effectively and authoritatively to a diverse audience, and to explain complex regulatory legislation and principles.
- Ability to always maintain confidentiality and ensure that confidential data is handled in a sensitive manner.
- Ability to work effectively in a fast-paced and dynamic environment
- Detail-oriented with strong organizational skills.
- Legal drafting and contract negotiation skills.
- Commercial awareness.
- Strong understanding of regulatory compliance frameworks and requirements.
- Excellent analytical and problem-solving skills.
Equal Opportunity Employer
We are dedicated to providing equal employment opportunities and embracing diversity, recognizing that a diverse workforce fosters innovation and enhances the ability to achieve extraordinary outcomes.
