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  • Posted: Jul 16, 2021
    Deadline: Jul 30, 2021
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    CardinalStone is a full service investment banking firm operating out of Lagos Nigeria. The firm began operations in June 2008 and is currently registered by the Nigerian Securities & Exchange Commission to operate as an Issuing House, Fund Manager and Broker/Dealer. CardinalStone Securities Limited is the licensed Stockbroking subsidiary of CardinalSton...
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    Legal Officer - Analyst

    Job Summary

     The Job holder will support the Legal team in CardinalStone Partners in handling all legal related functions. The Legal Analyst will ensure that our operations and business transactions align with all relevant regulatory, legal, and internal policies.

    Job Description

    Duties/Responsibilities 

    • Carry out and documents research as they relate to Trust services industry and business activities;
    • Continuous review and monitor Changes in the regulatory regimes, laws, policies, rules as they impact the company, people, and business processes;
    • Develop, Implement an effective risk assessment, and compliance program for corporate and business processes;
    • Fund Compliance role by monitoring the activities of the Fund Managers to ensure Funds are managed in line with the provisions of the Trust Deed of the respective Funds, the Investment and Securities Act, SEC Rules and any other guideline released by the Regulators of Collective Investment Schemes.
    • Regulatory Compliance entails ensuring that returns are rendered as at when due to regulatory authorities such as SEC, NFIU and CBN and other general compliance functions such as training staffs on KYC and AML requirements etc;
    • Evaluate business activities (Investments, financial transactions) to assess compliance and risks;
    • Design and enforce KYC, AML, CFT compliance for customers, partners, and other parties onboarding.
    • Multitasking in all facets of the organization especially handling the Regulatory and Fund Compliance Desk and achieving zero infractions consistently.
    • Monitoring the activities of the Business Unit is in line with the Investment and Securities Act, SEC Rules and any other guideline released by the Regulators and rendering appropriate returns on behalf of the business unit to the Regulators as at when due.
    • Collaborate with Board, Management, external auditors, regulators, and other stakeholders as required;

    Job Requirement

    • 1 - 3 years relavant corporate legal experience
    • Bachelor's Degree with a minimum of Second-Class Honors (Upper Division) in Law
    • Must have completed law school
    • Must have completed NYSC
    • Passionate about financial services
    • Excellent verbal and written communication skill
    • Result driven and open to learning
    • Excellent team spirit and interpersonal skills
    • Microsoft Office savvy

     

    NOTE: Kindly be informed that only shortlisted candidates will be contacted.

    Method of Application

    Interested and qualified? Go to Cardinal Stone on to apply

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