• Application Deadline:
• Position: Compliance Officer



• Job Type Full Time



• Qualification BA/BSc/HND



• Experience 3 - 6 years



• Location Lagos




• Job Field Law / Legal 
  
  

Job Summary

• The Compliance Officer is responsible for ensuring that the firm operates in full compliance with all applicable regulatory requirements, internal policies, and industry standards.


• The role involves monitoring regulatory changes, implementing compliance frameworks, managing risk exposure, and ensuring that all financial and operational activities align with the regulations set by relevant authorities.


• The Compliance Officer will also promote a strong culture of ethics, transparency, and accountability across the organization.

Key Responsibilities

Regulatory Compliance Management:

• Ensure the firm complies with all relevant financial regulations, laws, and regulatory guidelines.


• Monitor regulatory updates and advise management on compliance implications.


• Maintain compliance with regulatory bodies and industry standards applicable to financial management firms.


• Ensure all company activities align with statutory and regulatory requirements.

Policy Development & Implementation:

• Develop, implement, and update internal compliance policies and procedures.


• Ensure employees understand and adhere to the firm’s compliance framework.


• Establish internal controls and guidelines to prevent regulatory breaches.


• Periodically review policies to ensure they remain relevant and effective.

Risk Assessment & Monitoring:

• Identify potential compliance risks within the firm’s operations and financial activities.


• Conduct compliance risk assessments and recommend mitigation strategies.


• Monitor transactions, processes, and internal practices to detect irregularities or non-compliance.


• Ensure proper documentation and risk management practices are maintained.

Internal Compliance Audits:

• Conduct periodic internal compliance reviews and audits.


• Evaluate existing internal controls and recommend improvements where necessary.


• Prepare audit reports highlighting compliance gaps and corrective actions.


• Follow up on implementation of recommended compliance measures.

Regulatory Reporting & Documentation:

• Prepare and submit required regulatory reports and documentation to relevant authorities.


• Maintain accurate compliance records, filings, and documentation.


• Ensure proper documentation of company processes and regulatory interactions.


• Support external audits and regulatory inspections when required.

Training & Compliance Awareness:

• Provide compliance training and guidance to employees.


• Promote awareness of regulatory requirements and ethical standards.


• Advise management and staff on compliance-related matters.


• Ensure all departments understand their regulatory obligations.

Investigation & Issue Resolution:

• Investigate suspected compliance violations or ethical breaches.


• Provide recommendations to management on corrective and preventive actions.


• Escalate serious compliance concerns to senior management when necessary.


• Ensure timely resolution of compliance-related issues.

Requirements

• Bachelor’s degree in Law, Finance, Accounting, Business Administration, or a related field.


• 3–6 years of experience in compliance, risk management, audit, or regulatory roles within the financial services sector.


• Strong knowledge of regulatory compliance frameworks and financial industry regulations.


• Professional certifications such as ACAMS, CRCM, ICA, or ICAN are an advantage.


• Strong analytical, investigative, and reporting skills.


• High level of integrity and attention to detail.