The incumbent with be responsible for reviewing matters as required from a regulatory and/or legal perspective and provide advice required for decision making by the Company.
To ensure that the Rules and Guidelines of the Company are reviewed and revised as necessary in order to meet the objectives of facilitating a transparent and efficient trading environment
• Review and propose changes to the Rules of the Company and issue guidelines in order to ensure compliance with relevant legislation and regulations and to allow for the most transparent and efficient trading environment
• Provide counsel to the Company and prepare documents and reports on legal, corporate governance, regulatory and compliance matters
• Act in a proactive manner to identify regulatory developments and ensure the business is in a strong position to react to regulatory developments
• Serve as a regulatory liaison between the Company and its member firms
• Represent the Company in respect of all external investigations, law enforcement, prosecution agencies and courts of law and related matters
• Provide legal advice regarding the application and effectiveness of procedures relative to the conduct of examinations for broker front office operations to prevent any trading activities that may lead to market manipulation.
• Provide legal advice regarding the application and effectiveness of procedures relative to the conduct of examinations for broker back office operations including any breach of regulatory obligation to detect and prevent money laundering and terrorist financing.
• Provide legal advice regarding the surveillance and investigation programs for the Company
• Pursue investigations of potential violations of the Company rules and regulations and the Securities Act
• Provide guidance and training as required to staff on the Company rules and regulations and the Securities Act
• Assess internal regulatory risks associated with company policies and procedures and ensure compliance with evolving regulatory landscape
• Preparation of Board Minutes and completion of duties of Assistant Secretary
• Other related duties
Key Relationships / Reporting Structure
• Reports to the Chief Executive Officer or designate
• Interacts with member firms, internal staff, TTSEC, external counsel and other regulatory agencies
• Ten (10) years of regulatory and legal work experience in the securities or financial services industry with at least Three (3) years’ work experience in a managerial position
• Qualification as an Attorney at Law
• Master’s Degree in Business Administration or Finance would be an asset
• Experience in leading investigations related to regulatory and legislative compliance
The incumbent must possess working knowledge of:
• The relevant laws and regulations of Trinidad and Tobago as they relate to the securities environment.
• A working knowledge of the TTSE/TTCD Electronic Trading System would be an asset.
Knowledge and Other Skills
· Excellent presentation skills to explain regulatory and legal issues in a clear and concise manner
· Problem solving and analytical skills.
· Ability to multi-task and meet deadlines.
· Ability to cope with high levels of responsibility and with confidential matters.
· Ability to work well within a team.
· A high level of professionalism which is required on the job at all times
· Exceptional written, oral communication and report writing skills.
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