Manager, Legal & Compliance

Responsibilities:

Governance & Company Secretarial Duties:

• Plan, schedule, and execute board and committee meetings, including the AGM, preparing
• agendas, board packs, and briefing notes.
• Record and circulate accurate minutes capturing key decisions, action items, and follow-ups.
• Maintain statutory books, registers, and ensure timely filings with CAC and other regulators.
• Advise the board on governance, directors’ duties, conflicts of interest, and ethical standards.
• Implement governance frameworks, policies, and evaluation processes.
• Act as liaison between the board, management, and shareholders to ensure seamless communication

Investor Relations:

• Facilitate investor interactions while ensuring compliance with regulatory and legal obligations.
• Respond to investor queries, provide clarifications, and prepare reports in line with legal requirements.
• Monitor regulatory changes and advise management and stakeholders on actions.
• Communicate investment and operational risks to investors when required.

Legal Services:

• Draft, review, and negotiate contracts including investment, partnership, and service agreements.
• Manage litigation portfolio and coordinate with external counsel.
• Advise on corporate, commercial, intellectual property, employment, and sector-specific legal matters.
• Maintain an efficient contract and IP management system.
• Oversee external counsel and ensure cost-effective, high-quality legal services.
• Develop and implement policies reflecting emerging legal risks and regulatory requirements.

Compliance:

• Ensure adherence to SEC, CBN, and other relevant regulatory requirements.
• Implement AML/CFT, KYC, anti-bribery, and insider trading compliance frameworks.
• Conduct audits, monitoring, and risk assessments to identify compliance gaps.
• Deliver compliance training programs for staff and management.
• Serve as primary contact for regulators and manage regulatory reviews and inspections.
• Review and update compliance policies to align with regulatory evolution.

Risk Management (Legal & Compliance):

• Identify and mitigate legal and regulatory risks affecting the firm’s operations.
• Assess contractual, operational, and investment risks.
• Monitor regulatory changes and advise on compliance measures.
• Advise on crises such as disputes, regulatory breaches, or operational failures.

Policy, Framework & Procedure Development:

• Develop governance, compliance, and operational policies.
• Ensure policies are communicated, understood, implemented, and regularly reviewed.
• Establish frameworks for internal controls, whistleblowing, and risk reporting.

Reporting & Documentation:

• Ensure timely statutory and regulatory filings.
• Prepare internal and board reports on legal, governance, and compliance matters.
• Maintain audit-ready documentation and support internal/external audits.
• Track compliance KPIs, audit outcomes, and risk mitigation actions.

Team Leadership & Development:

• Lead, mentor, and manage a high-performing legal and compliance team.
• Assign responsibilities, set objectives, and monitor performance.
• Promote professional development, continuous learning, and regulatory awareness.
• Foster cross-functional collaboration to integrate legal and compliance processes.

Requirements:

• Bachelor’s degree in Law (LLB) and called to the Nigerian Bar (BL).
• Minimum of 8 years post-call legal experience, including 2 years in leadership.
• Minimum of 3 years in financial services (investment management preferred).
• SEC Sponsored Individual registration recommended.
• Deep knowledge of corporate governance, regulatory compliance, contract law, IP,
• employment law, and litigation management.
• Experience supporting boards and facilitating governance processes.
• Strong analytical, leadership, and communication skills.
• High integrity, professionalism, and ethical conduct.