Your role is:

To provide efficient and effective in-house legal service in support of SC’s regulatory functions for the capital market

You will be accountable for:

  • Providing general legal and business support/services
    • Review facts of cases and analyse situations/problems
    • Conduct research, prepare legal opinion and make recommendation
    • Act on and manage referrals assigned
    • Interview and advise customers and provide solutions
    • Assist dept. head in carrying out research on complex cases
    • Facilitate and conduct cross-department discussion
    • Draft and review SC’s contracts
  • Enforcing administrative action cases
    • Review facts of case and analyse strength of evidence
    • Identify non-compliances and anticipate consequence/ problems
    • Interview and advise customers on appropriate admin sanctions
    • Review admin processes, show causes, sanction letters, press statements and holding statements and advise on gaps
    • Facilitate and conduct cross-department consultation
    • Sanctions Committee : Assist dept. head in researching, establishing and preparing Guidance Notes on specific issues for Committee’s deliberation and endorsement; assist dept. head in disseminating, engaging and educating line depts. on policy stands; assist line depts. in preparing presentation to Sanctions Committee
    • Strategic Enforcement Group : Assist dept. head in her role and involvement as sub-group head of Strategic Enforcement Group
  • Defending SC’s interest in Court and other tribunals
    • Review and analyse cases assigned by dept. head
    • Prepare briefs and engage with external counsel
    • Monitor progress of cases and update dept. head
    • Highlight issues of concerns with the view to manage risk exposure to SC
  • Administering the Action Legal Awareness Portlet
    • Research on specific areas of law assigned by dept. head
    • Draft briefs/ notes
    • Populate portlet and disseminate relevant knowledge/ info to the entire SC
    • Attend to queries and comments from customers
    • Manage portlet
    • Co-operate and liaise with Knowledge Management for administrative matters.
  • Managing the Compensation Fund appeal cases
    • Review cases assigned by department head
    • Identify and research on issues arising
    • Prepare reports and Briefs to Appellate Committee
    • Monitor and ensure strict adherence to procedure and timelines
    • Schedule and arrange for hearings and pre-hearing discussion
    • Record and transcribe minutes of hearing
  • General and Miscellaneous Responsibility
    • Act as department referral point for Annual Report preparation

You should have:

  • A strong first degree in law; a postgraduate qualification such as Masters in Law or MBA will be an advantage
  • At least two (2) years’ working experience with ability to conduct and manage litigation cases
  • Ability to exercise sound judgment in identifying issues, prepare pros and cons for different options and advise on most appropriate solution and see to its implementation, in a regulatory environment
  • A sound knowledge of securities laws and other legislations relevant to SC’s functions and the rules of the courts relevant to the carrying out of SC’s function, or the capacity to quickly acquire such knowledge
  • Ability to conduct and manage litigation cases
  • Ability to operate effectively in a regulatory environment
  • Good analytical and research skills