• Contract Management: Draft, review, and negotiate contracts, agreements, and other legal documents to protect the firm's interests.
• Legal Research: Conduct research on relevant laws, regulations, and industry standards, providing insights and recommendations to the legal team and management.
• Compliance Oversight: Assist in ensuring the firm's adherence to regulatory requirements set forth by financial authorities, such as SEC and FINRA, as well as internal policies.
• Risk Management: Identify potential legal risks and assist in developing strategies to mitigate these risks.
• Advisory Support: Provide legal advice and guidance to internal stakeholders on various legal matters, including corporate governance, compliance, and operational issues.
• Litigation Support: Assist in managing litigation and dispute resolution processes, coordinating with external legal counsel as necessary.
• Documentation: Maintain organized records of legal documents, contracts, and correspondence to ensure compliance and facilitate audits.
• Training and Awareness: Conduct training sessions for staff on legal compliance and best practices to enhance awareness and understanding of legal obligations.
Qualifications:
• Education: Bachelor’s degree in Law (LLB) or equivalent; relevant certifications (e.g., Paralegal certification) preferred.
• Experience: [2-5 years] of experience in a legal role, preferably within the financial services or stockbroking industry.
• Knowledge: Strong understanding of financial regulations, securities law, and compliance issues relevant to stockbroking firms.
• Analytical Skills: Excellent analytical and research skills, with attention to detail and the ability to interpret complex legal texts.
• Communication Skills: Strong verbal and written communication skills, capable of effectively