The Legal and Compliance Department of NASD PLC requires a consummate legal professional with a strong personality, keen attention to detail and the ability to work as a team player to support its Legal and Compliance Department. The individual would be required to have a broad understanding of NASD’s overall mission, and strategy
- Minimum Qualification: Degree
- Experience Level: Mid level
- Experience Length: 3 years
- Legal and Compliance
- Draft, review and advice on legal documentation of all types, agreements, contracts, and product papers, within agreed timeframes and under the supervision of the Department Head.
- Providing enterprise-wide legal support on a myriad of issues in a timely and qualitative manner
- Minimizing NASD’s exposure and that of its subsidiaries to legal liabilities.
- Ensuring NASD’s compliance with all applicable laws and providing sound legal advice on legal obligations and implications on the enterprise’s business conduct, transactions, and policies.
- Managing external service providers in the provision of company secretarial services to NASD.
- Preparing/ reviewing Board papers, calendars, minutes, and action notes
- Aid in monitoring the activities outlined in the Compliance Monitoring Programme and ensure that the relevant reports are submitted to the department and regulatory bodies by other units
- File and keep proper records of all documentation in the department
- Assist in ensuring NASD is following the provisions of CAMA, Investment & Securities Act, Securities & Exchange Rules and Regulations and that all corporate filings are up to date.
- Other tasks may be assigned by the Department Head. Market Regulation
- Drafting new rules and regulations for NASD and putting out notices to stakeholders as well as interpreting existing rules and answering frequently asked questions on proposed rules.
- Periodically amending existing Rules and Regulations in line with current developments and best practices.
- Maintain up-to-date information on regulatory and policy changes and give proactive opinions on proposed legislation that affects NASD.
- Review applications for registration with NASD and maintain up-to-date information on Participating Institutions.
- Conduct legal research and analysis to develop solutions to OTC market legal requirements.
- Prepare and update the PI Database reports on a weekly basis.
- Maintain a database for tracking compliance history and deadlines granted to firms.
- Monitor the status of PI Firms and send frequent notifications and reminders to defaulting firms ahead of deadlines.
- Prepare compliance circulars and bulletins for publication
- Prepare compliance reports for the Securities & Exchange Commission on the activities of Participating Institutions.
- Minimum of 2:2 in University (LLB).
- A law degree with at least 2-5 years of experience in the legal function of a public company, law firm or financial services institution.
- Strong understanding of securities laws and a good understanding of the Investment and Securities Act, SEC Rules and Regulations, NASD Rules and Regulations, CAMA and other regulations affecting the Nigerian capital market.
- Strong Research Expertise
- Analytical Thinking
- Application of Legal Expertise
- Relationship Management
- Project Management
- Attention to Detail
- Strong experience with MS Office Suite: Word, Excel, Project, and PowerPoint.
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