• Application Deadline:
• Position: Compliance Officer



• Job Type Full Time



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



• Experience 5 years



• Location Lagos




• Job Field Finance / Accounting / Audit 
  
  

Role Overview

• The Compliance Officer will be responsible for ensuring that the company’s operations, investment products, and advisory services comply with applicable laws, regulations, and internal policies.


• This includes oversight of regulatory filings with the Securities and Exchange Commission (SEC Nigeria), monitoring adherence to investor protection guidelines, and promoting a strong culture of compliance across the organization.

Key Responsibilities

Regulatory Compliance

• Ensure the company complies with all applicable laws, rules, and regulations issued by SEC Nigeria, NAICOM (if insurance-linked products), NSE, and other regulatory bodies.


• Develop, implement, and regularly update the compliance framework, manuals, and policies to reflect current regulations and industry best practices.


• Maintain awareness of new and pending regulatory developments that may impact the company’s operations.

SEC Filings' Regulatory Reporting

• Prepare, review, and submit statutory filings with SEC Nigeria, including:


• Periodic returns (monthly, quarterly, and annual filings).


• Registration, renewal, and update filings for funds, schemes, and investment products.


• Compliance certificates and reports in line with SEC rules and regulations.


• Reporting of significant shareholding changes, corporate actions, or other mandated disclosures.


• Maintain proper documentation and record-keeping for all filings and correspondence with the SEC Nigeria.


• Liaise with SEC officials and ensure prompt responses to regulatory inquiries, inspections, and audits.

Internal Monitoring's Controls

• Conduct periodic compliance risk assessments and internal audits to identify gaps and recommend corrective actions.


• Oversee Know-Your-Customer (KYC) and Anti-Money Laundering (AML) processes, ensuring compliance with CBN and SEC AML/CFT guidelines.


• Monitor investment portfolios and trading activities to detect and prevent market abuse, insider trading, and conflicts of interest.

Advisory's Training

• Advise management and staff on compliance requirements related to product development, marketing, and client engagement.


• Deliver training programs to employees on regulatory obligations, ethical conduct, and internal compliance policies.


• Provide ongoing guidance to investment, operations, and client service teams to ensure compliance integration.

Reporting's Governance

• Submit periodic compliance reports to the CEO and Board of Directors.


• Act as the primary liaison with regulators, auditors, and external counsel on compliance matters.


• Promote a culture of transparency, integrity, and ethical conduct within the organization.

Qualifications / Requirements

• Bachelor’s Degree in Law, Finance, Accounting, Economics, or related discipline (Master’s or Professional certification is an advantage).


• Minimum of 5 years’ experience in compliance, legal, or regulatory affairs within an asset management, investment banking, or financial services firm.


• Strong knowledge of SEC Nigeria rules, NSE regulations, and other relevant financial market guidelines.


• Professional qualifications such as ICSAN, ICAN, CFA, or AML certification are highly desirable.


• Excellent analytical, communication, and interpersonal skills.


• High ethical standards, attention to detail, and the ability to handle confidential information

Core Competencies

• Strong regulatory knowledge and interpretation skills.


• Ability to anticipate compliance risks and recommend preventive solutions.


• Proactive engagement with regulators and stakeholders.


• Integrity, diligence, and commitment to professional excellence.