Compliance Officer

• Monitor and interpret regulations circulars and guidelines issued by the Securities and Exchange Commission Nigeria and other relevant authorities.
• Provide timely compliance advisory to business units (portfolio management trading desk operations).
• Ensure all products services and transactions comply with regulatory requirements.
• Develop and execute a risk-based Compliance Monitoring Programme (CMP).
• Conduct periodic reviews of:
  oPortfolio management activities
  oTrade execution and settlement processes
  oClient onboarding and account management
• Identify control gaps and recommend corrective actions.
• Implement AML/CFT frameworks in line with regulatory expectations and coordinate with the Nigerian Financial Intelligence Unit where required.
• Oversee:
  oCustomer Due Diligence (CDD) and Enhanced Due Diligence (EDD)
  oTransaction monitoring for suspicious activities
  oFiling of Suspicious Transaction Reports (STRs)
• Ensure compliance with KYC requirements for investors and counterparts
• Prepare and submit statutory returns and regulatory filings to the Securities and Exchange Commission Nigeria within stipulated timelines.
• Act as the primary liaison with regulators during inspections audits and inquiries.
• Maintain accurate and up-to-date regulatory registers.
• Develop review and update compliance policies and procedures (e.g. AML/CFT Policy Code of Ethics Personal Account Dealing Policy).
• Ensure alignment with evolving regulatory requirements and industry standards.
• Promote adherence to corporate governance principles.
• Monitor trading activities
• Enforce compliance with market conduct rules and ethical trading
• Investigate compliance breaches and recommend disciplinary or remedial actions.
• Ensure proper documentation
  
  

• BachelorsdegreeinlawFinanceEconomicsorrelatedfield
• Relevantprofessionalcertifications (preferred):
  • SEC-sponsoredcertifications
  • ComplianceorAMLcertifications
• 4-7 years relevant experience in:

1. Assetmanagementsecuritiestradingorcapitalmarket
2. Complianceriskorauditfunction.
3. StrongunderstandingofSECregulationsandcapitalmarketoperations

Required Experience:

Unclear Seniority

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