Head, Legal and Compliance at DynamicPlus Advisory

Job Summary

• Responsible for developing, implementing and administering all aspects of the Compliance Management Program.
• Ensures the Board of Directors, Management and employees are in compliance with the applicable laws, rules and regulations, and that behavior in the organization meets the company’s Standards of Ethical Conduct.
• Responsible for the maintenance of an Enterprise Risk Management Framework for the company.

Responsibilities
Strategic:

• Develop compliance related policies, procedures and frameworks and ensure implementation of same.
• Work with key stakeholders to identify and mitigate risks associated with existing and new deals and business lines with emphasis on higher risk customers and businesses.
• Ensure that all employees within the group are aware of and respect the legal norms, ethics and business practices of the company.
• Integrate best practice standards in the company’s compliance program
• Participate in Ad-hoc Committees, with a view to providing insight and advice on legal and compliance related matters
• Maintain an effective compliance communication system group wide.
• Initiate corrective actions for the resolution of problematic compliance/regulatory challenges.

Operational:
Regulatory Compliance:

• Coordinate the group compliance/regulatory risk management efforts.
• Manage the company’s compliance Program
• Maintain a “no surprises” compliance culture Group-wide, with early surfacing of issues.
• Keep the business abreast of any regulatory developments and industry best practices, and assessing the impact on current procedures, as well as ensuring that necessary changes are implemented.
• Develop and implement an Annual Compliance Plan.
• Ensure collaborative effort with relevant business units in the rendition of accurate and timely returns to regulators.
• Administer the Company’s Code of Business Conduct and Ethics.
• Lead compliance reviews and compliance monitoring activities.
• Provide assistance to line managers for purposes of compliance with applicable statutory, regulatory and supervisory requirements.
• Monitor the resolution of clients’ complaints.
• Liaise with industry regulators and other agencies, and respond to regulatory enquiries, findings and deficiencies.

Anti- Money Laundering/Combating the Financing of Terrorism (AML/CFT):

• Implement a Group-wide Anti-Money Laundering Compliance Program.
• Ensure AML/CFT Program is reactive to changes in regulation and business strategy.
• Maintain effective Customer Due Diligence/Know Your Customer (KYC) processes, Group-wide.
• Receive and evaluate suspicious transaction/activity reports.
• File suspicious transaction/activity reports with the relevant law enforcement agencies.
• Develop content and conduct staff AML/CFT training.
• Screen clients and prospective clients on sanctions and watch lists.
• Monitor rendition of transaction reports.
• Render reports on compliance with AML/CFT Regulations to regulators.

Risk Management & Control:

• Ensure that the Risk and Control Frameworks of the Group are operating effectively
• Ensure that the risk and control frameworks are maintained and updated as approved by the Board
• Compile, assess and report risk information to the CEO and the Board.
• Develop, manage and refine qualitative and quantitative risk reporting which meets the needs of the
• Board, in order to support effective decision making
• Identify risk ownership gaps and overlap requiring resolution to ensure appropriate ownership of priority risks and then monitor the planned actions.
• Work closely with the CEO and other team members to assist in reviewing new products, services, policies, procedures, system change or integration planning, to assess risk identification, analysis and mitigation strategies.

Legal:

• Provide legal guidance on a wide range of legal matters such as contracts, regulatory compliance, litigation, intellectual property and corporate governance.
• Identifying and mitigating legal risks.
• Drafting, negotiating and vetting contracts, legal documents and agreements.
• Representing the Company in legal proceedings, working with outside counsel when required.
• Conducting legal research to ensure the Company is up to date with the latest legal changes.
• Developing and implementing legal procedures and policies to ensure the Company’s compliance with applicable laws.

Supervisory:

• Manage Compliance & Risk Analyst to deliver on all responsibilities of the Compliance & Risk function of the group.
• Monitor team member’s performance and feedback.
• Provide a mechanism that encourages the coaching and development of all employees in appropriate areas of compliance.
• Develop plans for the enhancement of the Compliance & Risk Analyst’s skill set

Requirements

• A legal practitioner with a minimum of five (5) years post-call experience would be a preferred candidate.
• A minimum educational qualification of a university degree from a recognized tertiary institution, or professional qualification in the field of Law, Accounting, Auditing, Finance, Economics or any other relevant discipline.
• A minimum of 4 years’ experience in the capital markets with proven understanding of the operations of the capital markets and relevant regulatory requirements.
• Must be a sponsored individual with the Securities and Exchange Commission.
• Satisfactory completion of SEC Mandatory Compliance Officers’ training program.

Other Skills and Abilities:
The incumbent must demonstrate the following skills:

• Sound knowledge and prerequisite experience of the Capital Market Industry/ strong regulatory orientation skills.
• Brilliant oral and written communication skills.
• Highly analytical with strong attention to detail.
• Strong leadership ability, integrity, and sound judgment.
• Excellent Communication Skills.
• Good leadership and team-building skills
• Legal intelligence and strategic mindset
• Outstanding problem-solving skills
• Proven experience in relationship management
• Negotiation and persuasion skills
• Excellent interpersonal skills with good communication and analytical skills.
• Proficient use of Microsoft Office (Word, Excel, PowerPoint) and google suites.