• Application Deadline: Tue, 2 Aug 2022 00:00:00 GMT
• Position: Compliance & Control Manager (Capital Market)


• Job Type Full Time


• Qualification BA/BSc/HND , MBA/MSc/MA


• Experience 5 years


• Location Lagos


• Job Field Finance / Accounting / Audit 
  

Summary

• The Compliance and Control Officer will be responsible for end-to-end compliance functions for the business, regulatory reporting while also making recommendations to the Business regarding interpretation and implementation of policies, procedures, and processes to address live and/or potential regulatory compliance issues.

Responsibilities

• Manage the identification, communication and tracking of regulatory changes and analyzing the impact of such changes for the company


• Identify potential areas of compliance vulnerability and risk to aid in the development and implementation of corrective action plans for resolution of such vulnerabilities


• Ensure timely rendition of regulatory reports to relevant regulators including monthly Stockbroking Transactions to the NSE.


• Maintain oversight of portfolio compliance, which includes adherence with client investment mandates, regulation, house rules and industry standards.


• Liaise with Capital Market Regulators to ensure compliance with the rules and regulations guiding the Capital Market Industry.


• Ensure that the organization’s operating framework meets internal and regulatory requirements.


• Develop and implement an annual effective compliance and Money Laundering training program (AML/CFT)


• Examination and evaluation of the adequacy and effectiveness of the organization’s internal control systems.


• Liaise with relevant units to review the accuracy and reliability of the accounting records and financial reports


• Review the systems established to ensure compliance with legal and regulatory requirements, codes of conduct and the implementation of policies and procedures.


• Provide independent assurance and perform consulting assessments on the adequacy and effectiveness of Management, control frameworks and governance processes of all units within the organisation, aiming at adding value and assisting the organisation in achieving its strategic objectives.


• Monitor and enforce daily posting of operations department transactions/ Zero tolerance for unauthorized posting on a daily basis, to ensure zero financial losses due to internal control lapses.

Requirements

• B.Sc or M.Sc in a relevant field


• Applicants must be SEC-Sponsored Individuals


• Minimum of 5 years Compliance and Control experience in the Stockbroking sector.


• Vast knowledge of the Capital Markets, NGX regulations and Securities Trading sector.