Key Responsibilities: 1. Regulatory Compliance: • Stay abreast of relevant laws, regulations, and industry guidelines governing stockbroking and financial services. • Advise internal stakeholders on compliance requirements and assist in the development and implementation of compliance programs. • Conduct legal research and analysis to assess the impact of regulatory changes on our business operations. 2. Contract Review and Negotiation: • Review, draft, and negotiate a wide range of contracts and agreements, including client agreements, vendor contracts, and partnership agreements. • Ensure that contracts comply with legal requirements and reflect the company's interests and objectives. • Work closely with business development and procurement teams to facilitate contract negotiations and resolve legal issues. 3. Risk Management: • Identify legal and regulatory risks associated with business activities and develop strategies to mitigate such risks. • Provide guidance on risk management practices and procedures to promote sound business practices and protect the company's interests. • Collaborate with other departments, such as compliance, risk management, and internal audit, to address legal and regulatory issues proactively. 4. Dispute Resolution: • Manage and oversee legal disputes and litigation matters, including liaising with external counsel as necessary. • Develop strategies for resolving disputes efficiently and cost-effectively, while safeguarding the company's reputation and interests. • Participate in mediation, arbitration, and other alternative dispute resolution processes as required. 5. Policy Development and Training: • Assist in the development and implementation of company policies and procedures to ensure legal compliance and mitigate risks. • Provide training and education to employees on legal and regulatory matters relevant to their roles. • Foster a culture of compliance and ethics throughout the organization through effective communication and training initiatives. Qualifications: • Bachelor's degree in law from an accredited institution. Juris Doctor (JD) or equivalent degree preferred. • Admission to the bar in the relevant jurisdiction(s) with a valid license to practice law. • Minimum of 5 years of experience practicing law, preferably in the financial services industry or a related field. • Strong knowledge of securities laws, regulations, and industry standards applicable to stockbroking firms. • Excellent analytical, problem-solving, and decision-making skills. • Effective communication and interpersonal skills, with the ability to interact confidently with internal and external stakeholders. • Proven ability to manage multiple projects simultaneously and work effectively under pressure.