Manager, Disciplinary Unit - Regulation at Nigerian Stock Exchange

Division: Regulation
Department: Office of the DH-Regulation
Report to: Executive Director, Regulation
Grade: Assistant Manager - Manager
Estimated Date of Resumption: Monday, October 14, 2019

Job Summary

• The Exchange needs a consummate legal professional with a strong personality, good people management skills, and the ability to work as a team player to support its Disciplinary process. This individual will work out of the office of the Head, Regulation.
• The individual would be required to have a thorough understanding of The Exchange’s policies, overall mission and strategy, as well as a strong legal background, including stellar academic credentials.

Key Responsibilities

• Drafting, reviewing and advising in a qualitative manner documentation of all types relating to Disciplinary matters within agreed timeframes
• Providing enterprise wide legal support to all structures involved in the Disciplinary process
• Providing legal opinions and advice as requested for the purposes of the Disciplinary process. Providing legal advisory services to the Council and Council Committees in connection with the Disciplinary process
• Working with other business departments to manage The Exchange’s disciplinary process for its Dealing Members and listed companies. Managing The Exchange’s Disciplinary Process to be in line with best practice and international standards. Attending meetings with third parties and stakeholders regarding The Exchange’s Disciplinary Process
• In conducting disciplinary matters, pay attention to minimizing the exposure of The Exchange to legal liabilities. Working on the procedures, practices, rules and regulations relating to the Disciplinary process with a view to enhancing them and making them more robust
• Participating as representative of the Disciplinary function in Committees and Projects across the enterprise
• Supporting the business in finding creative ways to meet its SRO enforcement objectives
• Ensuring KPIs are met
• Ensuring cost effective service provision for all services rendered

Qualifications And Experience

• A law degree with 7-10 years’ experience and at least 1 year of managerial experience
• Master's Degree in Law
• Strong understanding of securities laws and a good understanding of laws affecting the capital markets, NSE rules and CAMA. Demonstrated leadership and management ability in a complex organization
• Knowledge of Administrative Review and Regulatory Oversight matters.

Functional Competencies:

• Analytical Thinking
• Excellent Communication Skills, both Written and Verbal.

Behavioural Competencies:

• Attention to Detail
• Emotional Intelligence
• Excellent Time Management & Multi-tasking abilities
• Drive and enthusiasm in getting things done
• Ability to generate trust and respect from staff and external stakeholders
• Comfort with ambiguity and uncertainty.