Legal Manager

Responsibilities:

• Develop and oversee control systems to prevent or deal with violations of legal guidelines and internal policies
• Evaluate the efficiency of controls and improve them continuously
• Revise procedures, reports etc. periodically to identify hidden risks or non-conformity issues
• Draft, modify and implement company policies
• Collaborate with corporate counsels and HR departments to monitor enforcement of standards and regulations
• Assess the business’s future ventures to identify possible compliance risks
• Review the work of colleagues when necessary to identify compliance issues and provide advice or training
• Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance control
• Prepare reports for senior management and external regulatory bodies as appropriate
• Participating in monitoring the firm’s compliance with capital markets-related obligations
• Representing the team in meetings with partners in the business divisions and internal audit

Requirements and skills :

• Proven experience as Legal manager
• 5+ years of experience in Capital Markets or securities and derivatives- related activities, Compliance, Risk Management or Internal Audit, preferably in a bank, broker-dealer or other financial institution.
• Strong knowledge of ETFs and IPOs.
• Excellent knowledge of reporting procedures and record keeping
• A business acumen partnered with a dedication to legality
• Methodical and diligent with outstanding planning abilities
• An analytical mind able to “see” the complexities of procedures and regulations
• Excellent communication skills
• BSc/BA in law, finance, business administration or related field
• Certified compliance professional is a plus

• Legal advisory and in-house counsel expertise

• Corporate governance and regulatory compliance

• Capital markets, ETFs, and IPOs knowledge

• Legal drafting, contract review, and documentation

• Litigation and dispute resolution management

• Stakeholder and regulator relationship building

• Analytical thinking and legal risk assessment

• Internal investigations and legal opinion writing

• Legal training and staff development

• Excellent verbal and written communication

• Bachelor's degree in Law or related field

• Certified compliance professional (preferred)

Legal