Legal & Regulatory Analyst

Key Responsibilities

1. Regulatory Compliance Monitoring and Research

• Continuously monitor and analyze local and international regulatory developments that affect the investment management industry.
• Advise the firm’s leadership and relevant teams on emerging regulatory trends and necessary compliance actions.

2. Legal Document Review and Drafting

• Review, draft, and negotiate a wide range of legal documents including investment advisory contracts, NDAs, regulatory filings, and client agreements.
• Ensure all legal documents comply with applicable regulations and align with the firm’s strategic objectives.

3. Regulatory Filings and Reporting

• Oversee the preparation and submission of mandatory regulatory filings such as Form PF, AIFMD reports, and other jurisdiction-specific filings.
• Ensure that all reporting is timely, accurate, and compliant with local and international regulatory standards.

4. Interaction with Regulators

• Act as the primary point of contact for regulatory bodies such as the SEC, FCA, Capital Markets Authority, and other relevant authorities.
• Maintain strong relationships with regulators, ensuring clear communication and full transparency in the firm’s activities.

5. Regulatory Relationship Management

• Develop and maintain strong working relationships with regulatory authorities across jurisdictions in which the firm operates.
• Facilitate open communication between the firm and regulators to ensure ongoing compliance and prompt resolution of regulatory issues.

6. Training and Regulatory Awareness

• Develop and deliver internal training programs on key regulatory compliance topics such as AML/KYC, market abuse laws, fiduciary duties, and insider trading rules.
• Provide regular updates to senior management on evolving regulatory developments and their implications for the firm.

7. Cross-Border Regulatory Compliance

• Manage the firm’s compliance with cross-border regulations, including FATCA, GDPR, and local tax transparency rules.
• Work with legal teams in various jurisdictions to ensure that the firm’s products, services, and marketing efforts are compliant with country-specific regulations.

Qualifications and Experience:

• Bachelor’s degree in Law, Finance, Business, or a related field. A master’s degree or professional legal qualification (JD, LLM) is preferred.
• Minimum of 3-5 years of experience in legal or regulatory compliance roles within the financial services or investment management industry.
• Strong understanding of key regulatory frameworks affecting investment management, including the SEC, FCA, AIFMD, MiFID II, and local regulations such as Kenya's Capital Markets Authority (or equivalent in other jurisdictions).

Skills

• Strong legal drafting and document review skills.
• Excellent organizational skills with the ability to manage multiple projects and deadlines.
• Strong communication and interpersonal skills for interacting with regulators, external counsel, and internal teams.
• Proven ability to interpret complex regulations and provide practical compliance solutions.