Legal & Compliance Analyst

JOB DESCRIPTION

RESPONSIBILITIES

1. Regulatory and Compliance Management
•    Monitor adherence to compliance processes and policies as well as regulations and laws.
•    Identify instances of non-compliance with laid policies and processes and/or regulations and escalate issues as appropriate and refer complex issues to Team Lead, Legal and Compliance.
•          Adhere to the departments tracker on the filing of all regulatory returns (PEP, FTR, STR) etc
•    Review onboarding documents and ensure all KYC procedures are implemented.
•    Review and approve Client mandates in line with process flows.
•    Understand and effectively implement AML/CFT/PF measures across the group.

2. Document Preparation and Legal Advisory
•    Prepare and review all necessary legal documents required to support the Group (NDA, SLAs, DPAs) etc.
•    Assist in preparing necessary reports to Departmental head and management on Legal and Compliance activities within the group.

•    Independently conduct research and analysis to develop solutions.
•    Stay updated on evolving regulatory requirements and industry best practices and prepare legal opinions on how it affects each business within the group.
•    Provide guidance and training to internal teams on compliance-related matters, fostering a culture of awareness.
•    Support the resolution of compliance related issues/ incidents and ensuring the adherence to corrective measures to prevent reoccurrence.
•    Preparation of minutes of meetings
•    Draft and update compliance policies and process flows.

3. Client and Customer Management/Internal and External Stakeholder Management
•    Apply basic principles of effective relationship management.
•    Liaise with internal and external stakeholders to establish a robust compliance network 
•    Resolve standard compliance queries from internal or external customers and referring more complex matters to Team Lead, Legal and Compliance
•    Collaborate closely with cross-functional teams to ensure that compliance measures are seamlessly integrated into all aspects of product development, operations and expansion initiatives.                                         

EDUCATION

•    A Bachelor of Laws (LL.B) & B.L or a Master of Laws
•    A Second Degree and/or Completion of Relevant Professional Certification will be an added advantage. (DCP, CAMS, CFE).

EXPERIENCE

• Minimum of three (3) years’ experience in a Legal and Compliance role

KEY KNOWLEDGE & SKILLS

a) Knowledge

The incumbent must have proficiency knowledge in the following areas:

•    Legal drafting: demonstrates the ability to support drafting of legal agreements/statutory documents (eg. NDA, DPA, legal opinions & term sheets).
•    Regulations and laws affecting the finance/capital market
•    Intermediate use of Microsoft Office

b) Skills Required

The incumbent must demonstrate the following skills:
•    Strong analytical skills to assess complex regulatory issues
•    Excellent communication (oral and written)
•    Excellent interpersonal skills to collaborate effectively with internal teams, external parties and regulatory bodies.
•    High level of integrity and attention to detail
•    Ability to prioritize tasks and meet deadlines in a fast paced environment

c) Behavioural Attributes Required

• Manages Complexity
• Ensures accountability.
• Collaborates efficiently
• Confidentiality