Head, Legal and Compliance
4 weeks ago
Develop a comprehensive Compliance Management Program for a financial institution, ensuring alignment with regulatory requirements, industry best practices, and the company's Standards of Ethical Conduct.
Key Responsibilities:
- Develop, implement, and maintain compliance policies, procedures, and frameworks.
- Coordinate regulatory compliance and risk management efforts.
- Maintain a "no surprises" compliance culture, surfacing issues early and implementing necessary changes.
- Ensure accurate and timely regulatory submissions.
- Administer the Company's Code of Business Conduct and Ethics.
- Lead compliance reviews and monitoring activities.
- Provide legal guidance on contracts, regulatory compliance, litigation, intellectual property, and corporate governance.
- Manage a team of Compliance & Risk Analysts, monitoring their performance and providing coaching and development opportunities.
Requirements:
- A minimum of 5 years' post-call experience as a legal practitioner.
- A university degree from a recognized institution or professional qualification in Law, Accounting, Auditing, Finance, Economics, or a relevant discipline.
- A minimum of 4 years' experience in the capital markets with a proven understanding of operations and regulatory requirements.
- Satisfactory completion of the SEC Mandatory Compliance Officers' training program.
Desirable Skills:
- Strong knowledge of the Capital Market Industry and regulatory orientation skills.
- Excellent oral and written communication skills.
- Highly analytical with strong attention to detail.
- Strong leadership ability, integrity, and sound judgment.
- Legal intelligence and strategic mindset.
- Outstanding problem-solving skills.
- Proven experience in relationship management.
- Negotiation and persuasion skills.
- Excellent interpersonal skills with good communication and analytical skills.
- Proficient use of Microsoft Office Word, Excel, PowerPoint, and Google Suites.
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