Company Secretary and Compliance Manager at CapitalSage Technology Limited

• The successful candidate’s overriding objectives would be to manage the Secretariat for the Board, superintend the Compliance function as well as be the Chief Legal Advisor to the Company and the Board, for operational and transaction-related matters.

Job Responsibility:

Responsibilities include but are not limited to:

• Company Secretariat
• Legal Adviser to the Company
• Custodian of records of Management meetings,
• Responsible for reproducing records of meetings when required

Compliance

• Lead engagement with the Securities and Exchange Commission for the registration of the businesses and provide guidance to the MD(s) and internal team in respect of same
• Provide significant support on the registration of the businesses with other critical regulatory stakeholders (FMDQ Group, The Nigerian Exchange, CSCS Plc, NASD Plc)
• Manage ongoing relations with relevant regulators (once registration is completed);
• Provide guidance to all teams on actual and potential regulatory changes, including revision of laws, rules and regulations and revision of fee requirements;
• Ensure the development of a compliance culture throughout the firm, creating a zero-tolerance view of negative regulatory actions;
• Provide compliance-related guidance to multi-disciplinary teams tasked with the set up of digital platforms designed to provide services to Clients.
• Develop (or lead the development of) process and execution manuals to facilitate excellent standards for managing the compliance function of the business;

Legal

• Review agreements and deeds prior to execution and advise the Business Head on the advisability of clauses contained in transaction documents and other agreements;
• Guide relevant teams within the institution on appropriate legal structures which can be utilised for transactions without increasing the firm’s risk profile
• Lead or provide support in the negotiation of contracts to which the firm is committed or intends to commit Others
• Develop a highly skilled and motivated team, which is able to provide world-class support in matters related to Compliance, Legal Services and the Company Secretariat.
• Provide leadership and guidance to the Legal & Compliance team, to ensure a friendly, high-performance culture, a can-do spirit and an atmosphere of continuous learning.

Requirements

Professional Background:

• Bachelor of Laws degree'
• Must be a SEC Sponsored individual
• Relevant professional qualifications (such as ICSA OR ICSAN) or a Master’s degree in Finance Law or a compliance-related field would enhance the application
• At least eight (8) years cognate experience in a legal/compliance/company secretariat function. Remuneration will be highly competitive and negotiable.

Personal Attributes/Skills

• Strong knowledge of extant laws and regulations relating to financial services;
• Strong experience as a legal and/or compliance manager of a mid-size to large SEC-regulated financial institution in Nigeria is a plus;
• Experienced in managing seamless regulatory relationships
• Excellent communication (written and oral) skills;
• Broad thinking and ability to adapt multiple approaches towards achieving goals and resolving challenges
• Outstanding leadership and mentoring skills