Regulatory/ Legal and Compliance Officer

Key Responsibilities:

Legal and Compliance

• Review and propose changes to the Rules of the Stock Exchange and the TTCD 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 TTSE/TTCD 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 TTSE/TTCD and its member firms and TTSEC
• Represent the TTSE/TTCD in respect of all external investigations, law enforcement, prosecution agencies and courts of law and related matters
• Oversee and 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.
• Oversee and 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.
• Identify risk areas for review and create/apply audit programs to reduce or to minimize same
• Develop and maintain reports analyzing compliance issues, conflicts of interest or other regulatory matters
• Provide legal advice and develop the surveillance and investigation programs for TTSE/TTCD
• Liaise with various stakeholders to ensure that all member firms filings are done on a timely basis.
• Interpret the Stock Exchange and SEC rules and regulations for the guidance of all member firms.
• Prepare visit reports for examinations conducted on Member Firms and institute action if required
• Oversee and conduct internal compliance audits
• Ensure that all internal and external compliance reviews and audit reviews are performed on time.
• Develop, recommend changes and/or update policies and procedures as required
• Provide guidance to staff and member community on compliance related matters
• Oversee all AML/CFT matters of the Company.
• Pursue investigations of potential violations of TTSE/TTCD rules and regulations and the Securities Act
• Provide guidance and training as required to staff on TTSE/TTCD rules and regulations and the Securities Act
• Assess internal regulatory risks associated with company policies and procedures and ensure compliance with evolving regulatory landscape
• Review daily disseminated regulatory information to preserve confidentiality and minimize exposure
• Lead and execute special projects

Corporate Governance

• Preparation of Board Minutes for the TTSE and TTCD Board meetings and completion of duties for the Assistant Secretary
• Establishing and maintaining a Corporate Record Keeping system for the organisation, keeping up to date all the Company filings, registers and other company documents in accordance with the Companies Act of Trinidad and Tobago.
• Preparation of Sub Committee Minutes for the following Committees: Regulatory Committee, Audit Committee, Nominations Committee, ……
• Prepare and disseminate Sub Committee and Board notices, Board papers and Board meeting packages
• Circulation of Action Items and follow-up of same with Management Team Post Sub Committee and Board meetings
• Follow-up with Round Robin Approvals from the TTSE/TTCD Boards and Sub Committee meetings
• Assist in the implementation of new policies, procedures and systems in response to legislative changes and external reviews
• Perform any other related duties as may be required from time to time 

Key Relationships / Reporting Structure:

• Reports to the Chief Executive Officer or designate
• Oversee the Compliance Department
• Interacts with member firms, internal staff, TTSEC, external counsel and other regulatory agencies