• Application Deadline: Sat, 18 Nov 2023 00:00:00 GMT
• Position: Compliance Officer (SEC - Sponsored)


• Job Type Full Time


• Qualification BA/BSc/HND


• Experience 2 years


• Location Lagos


• City Ikoyi


• Job Field Finance / Accounting / Audit 
  

JOB SUMMARY

The ideal candidate must be registered as a Sponsored Individual by the Securities and Exchange Commission (SEC). He/She will be responsible for monitoring and ensuring compliance with the rules and regulations, notifications, guidelines, and instructions issued by SEC or the Federal Government.

KEY RESPONSIBILITIES

• Keep the Company abreast of all regulatory requirements, developments, and industry best practices, including corporate governance guidelines.


• Assess current procedures and implement necessary changes where necessary or required.


• Develop and implement annual Compliance plans for the Company.


• Liaise with Industry Regulators and other agencies and respond to regulatory inquiries findings and deficiencies.


• Carry out Compliance reviews and Compliance monitoring activities.


• Monitor the resolution of clients’ complaints.


• Provide assistance to respective units for the purpose of compliance with applicable statutory, regulatory and supervisory requirements.


• Ensure total compliance to all regulatory requirements to prevent fines/censure from Regulatory authorities.

REQUIRED SKILLS /COMPETENCIES

• Minimum of 2 years relevant experience in the industry


• B.Sc. in Accounting/Business Administration, Economics, and any other relevant qualification.


• Experience in Compliance and control units in Portfolio and Funds Management will be an added advantage.


• Ability to provide technical guidance and direction in control and compliance as it relates to financial services, especially Portfolio and Fund Management


• General knowledge and understanding of the Nigerian Capital Market.


• General familiarity with laws and regulations governing financial institutions.


• In-depth knowledge of the legislations, rules, and regulations that relate to financial services, especially in the Asset Management industry.


• Technical proficiency in the development and implementation of compliance programs.


• Ability to engage with regulators and law enforcement agents.


• Effective communication, organizational, and time management skills.


• Proficiency in Microsoft Office applications.


• Knowledge about economic and global trends in compliance.