Parthian Securities Client Operations Officer

Job Profile

Key Responsibilities

1. Client Onboarding & Account Administration

• Facilitate the onboarding of retail corporate institutional and high-net-worth clients in accordance with regulatory and internal requirements.
• Review and verify KYC documentation customer due diligence (CDD) beneficial ownership information and AML/CFT requirements before account activation.
• Process account opening account updates mandate changes account closures and client profile maintenance accurately.
• Support the onboarding and activation of clients on the Parthian Technology iInvest Equity Platform.
• Ensure complete and accurate maintenance of physical and electronic client records.
• Escalate incomplete documentation or compliance exceptions promptly.

2. Equity Trade Support & Operations

• Support the processing of equity transactions initiated through licensed brokers and the iInvest platform.
• Verify trade instructions and ensure accurate transaction capture within internal systems.
• Coordinate with the Operations Team to ensure timely settlement of executed trades.
• Monitor pending trades and follow up on settlement exceptions.
• Assist in resolving failed trades and transaction discrepancies.
• Maintain accurate records of executed transactions.

3. Client Service & Relationship Support

• Serve as the first point of contact for operational enquiries from clients using Parthian Securities and the iInvest Equity Platform.
• Respond promptly to enquiries relating to account opening transactions portfolio holdings dividends transfers CSCS accounts and settlements.
• Resolve client complaints professionally within approved service turnaround times.
• Educate clients on operational procedures investment processes and platform functionality.
• Escalate complex operational issues to the Client Operations Manager where necessary.

4. CSCS & Securities Administration

• Support the opening and maintenance of CSCS accounts.
• Process securities transfers dematerialization rematerialization pledges lien requests and portfolio updates.
• Liaise with CSCS registrars custodians and settlement banks to ensure seamless processing.
• Maintain accurate client securities records.
• Support reconciliation of client holdings with CSCS records.

5. Corporate Actions Administration

• Assist in processing corporate actions including:
  • Dividend payments
  • Bonus issues
  • Rights issues
  • Stock splits
  • Mergers and acquisitions
  • Share reconstructions
• Notify eligible clients of corporate action opportunities and deadlines.
• Process client elections within stipulated timelines.
• Liaise with registrars to resolve corporate action discrepancies.

6. Reconciliation & Operational Support

• Assist in daily reconciliation of client accounts securities positions and settlement balances.
• Investigate reconciliation breaks and support timely resolution.
• Verify transaction postings and ensure completeness of operational records.
• Maintain accurate documentation supporting all client transactions.
• Escalate unresolved operational issues promptly.

7. Regulatory Compliance & Risk Management

• Ensure strict compliance with ISA 2025 SEC Rules NGX Rules CSCS Guidelines AML/CFT regulations and internal operational procedures.
• Support periodic compliance reviews and regulatory reporting requirements.
• Maintain confidentiality and security of client information in accordance with the Nigeria Data Protection Act (NDPA).
• Identify suspicious transactions and escalate them in line with AML reporting procedures.
• Adhere to maker-checker controls and internal approval processes.

8. Digital Investment Platform (iInvest) Operations Support

• Support operational activities relating to the Parthian Technology iInvest Equity Platform.
• Monitor customer onboarding workflows and transaction processing on the platform.
• Escalate system issues affecting equity transactions to ICT and Product teams.
• Assist in testing new platform features before deployment.
• Support user acceptance testing (UAT) for operational enhancements.
• Monitor service requests and ensure timely resolution of customer issues.

9. Process Improvement & Operational Excellence

• Recommend improvements to client operational processes to enhance efficiency and customer experience.
• Participate in automation initiatives aimed at reducing manual processing.
• Support documentation and review of Standard Operating Procedures (SOPs).
• Assist in implementing quality assurance measures across client operations.
• Contribute to continuous improvement initiatives.

10. Reporting & Documentation

• Prepare daily weekly and monthly operational reports.
• Maintain accurate records of onboarding activities transactions reconciliations complaints and service requests.
• Track operational service levels and turnaround times.
• Support audit exercises by providing required documentation.
• Maintain proper filing and document retention in accordance with regulatory requirements.

Requirements: Knowledge Skills and Abilities

Knowledge

• Bachelors Degree in Finance Accounting Economics Business Administration Banking or a related discipline.
• Minimum of 24 years experience in stockbroking operations capital market operations investment administration digital investment platforms or financial services.
• Good understanding of:
  • Investments and Securities Act (ISA) 2025
  • SEC Rules and Regulations
  • Nigerian Exchange (NGX) Rules
  • CSCS Operating Guidelines
  • AML/CFT Regulations
  • Know Your Customer (KYC) requirements
  • Nigeria Data Protection Act (NDPA)
  • Equity market operations and settlement processes
• Familiarity with capital market trading and settlement systems is an advantage.

Skills

• Strong client service and relationship management skills.
• Knowledge of equity market operations and post-trade processes.
• Good analytical and reconciliation skills.
• Excellent written and verbal communication skills.
• Strong organizational and documentation abilities.
• Proficiency in Microsoft Excel Microsoft Office Suite and client management systems.
• Familiarity with CSCS NGX CRM systems and digital investment platforms is an added advantage.
• Ability to manage multiple priorities while maintaining high levels of accuracy.

Abilities

• Ability to process transactions accurately within strict deadlines.
• Ability to interpret and apply regulatory and operational requirements.
• Strong attention to detail with excellent problem-solving skills.
• Ability to maintain confidentiality and exercise sound professional judgment.
• Ability to work collaboratively with cross-functional teams regulators and market participants.
• Ability to adapt to evolving technology digital investment platforms and changing regulatory requirements.
• Demonstrate professionalism integrity accountability and a strong customer-centric mindset.

Required Experience:

Unclear Seniority

Employment Type : Full-Time
Experience: years
Vacancy: 1