• Application Deadline: Wed, 25 May 2022 00:00:00 GMT
• Position: Investment Advisory and Compliance Officer


• Job Type Full Time


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


• Experience 5 years


• Location Lagos


• Job Field Finance / Accounting / Audit  , Law / Legal 
  

Job Details

• The Investment advisory and compliance officer will be responsible for establishing standards and implementing procedures to ensure that the compliance program throughout the organization is effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations.


• The Investment advisory and compliance officer will provide reasonable assurance to senior management that there are effective and efficient policies and procedures in place, well understood and respected by all employees, and that the firm is complying with all regulatory requirements.

Job Responsibilities

• Monitoring of various fund risk, and ensuring appropriate controls and mitigants are in place


• Rendition of reports to the Security and Exchange Commission and various rating agencies


• Advocate and support the culture of informed risk-taking and heighten awareness and use of advanced risk management practices through training programs and coaching


• Handle day-to-day interface with internal and external stakeholders and parties involved in the department’s transactions


• Responsible for retrieving data from a wide variety of data sources and interpreting and presenting accurate and dependable data


• Responsible for preparing pitch documents to prospective clients


• Understanding of transaction timelines and deliverables


• Ensure that transactions are executed in line with the relevant rules and regulations within the financial advisory internal procedures


• Special ad-hoc projects, presentations, and initiatives as assigned.


• Evaluate current and new securities laws and regulations, federal and state, as applicable


• Conduct periodic risk assessments, testing, and response plans


• Develop, review, revise, implement and update compliance policies and procedures based upon changing business practices, regulatory or legal requirements


• Design and monitor control systems to detect, prevent and deal with violations of law, regulatory requirements, and internal policies


• Regularly assess the efficiency of control systems and recommend effective improvements


• Coordinate with all department heads to align compliance policies and procedures to operations


• Perform the annual compliance review of the firm


• Lead employee training sessions on legal and compliance issues


• Enforce standards and promptly respond to detected offenses, develop corrective action, and report findings to Management and other interested parties as required.

Job Requirements and Qualifications

• Bachelor’s Degree in Finance, Accounting, Economics, Business Administration, or Legal (Master’s Degree is an additional advantage)


• An investment advisor with a financial service firm with 4 to 5 years’ experience


• Must also have sound judgment in adopting the investment positions agreed to by clients


• Must be familiar and also have knowledge of sec rules and regulation.


• Must have 5 years post graduation experience t perform the Investment advisory as per Rule 16 of the commission’s rules and regulation.


• Good analytical & problem-solving skills


• Excellent interpersonal and communication skills.