We are seeking a highly motivated professional to join our team in a critical role, where you will be responsible for driving key initiatives and contributing to our organization’s success. The ideal candidate will possess a strong background in [specific field or industry], along with proven experience in [specific skill or responsibility]. Your expertise will be essential in fulfilling responsibilities such as [specific task or duty], while also collaborating effectively with cross-functional teams to achieve strategic objectives. Additionally, you will be expected to demonstrate exceptional problem-solving abilities, adaptability, and a commitment to maintaining high standards of excellence in all endeavors.
The Legal and Compliance Manager will be responsible for directing regulatory compliance initiatives and providing strategic legal guidance, with a focus on ensuring full alignment with capital market regulations and fund management laws. Candidates must hold SEC sponsorship and possess a proven track record in fund management compliance.
Key Accountabilities: Overseeing the execution of critical tasks, leading project initiatives, and ensuring alignment with organizational objectives. This includes managing cross-functional teams, coordinating deliverables, and maintaining high standards of performance. Additionally, the role involves analyzing operational data to identify trends, implementing process improvements, and fostering a culture of continuous enhancement. Regular reporting and stakeholder communication are essential to track progress and address any deviations from established goals.
Develop, execute, and oversee robust compliance frameworks that adhere to Securities and Exchange Commission stipulations as well as additional regulatory mandates, guaranteeing that all operations remain in full alignment with governing regulations, internal policies, and ethical principles.
Ensure meticulous preparation, submission, and accuracy of all regulatory filings, strictly adhering to established deadlines to guarantee timely delivery.
Oversee and address compliance risks by implementing strategic measures to reduce regulatory vulnerabilities.
Act as the primary point of contact for regulatory authorities, coordinating Securities and Exchange Commission examinations and audits while fostering constructive relationships with oversight entities like the Financial Reporting Council and additional regulatory bodies.
Deliver expert legal guidance to uphold adherence to fund management agreements, client mandates, and prevailing industry standards.
Deliver internal compliance training programs designed to instill a culture of accountability, heightened regulatory awareness, and strict adherence to statutory requirements.
Oversee the preparation, regular evaluation, and revision of compliance-focused policies, including the Compliance Manual, Anti-Money Laundering protocols, and the Complaint Management Policy.
Monitor regulatory developments, analyze proposed legislation and regulations, and assess their implications for the Group’s business activities.
We are responsible for ensuring the registration and ongoing management of an appropriate number of SEC Sponsored Individuals across all companies within the Group.
Proactively manage and rectify any detected regulatory breaches or infractions to maintain compliance and prevent penalties or violations.
Develop and oversee the scheduling of regular compliance audits and mandatory training sessions in accordance with legal requirements.
Provide support in the preparation, evaluation, and verification of legal and commercial documentation, offering legal assistance across all organizational units.
Compile compliance reports and distribute notifications regarding pertinent regulatory amendments to all departments.
Ensure adherence to Know Your Customer (KYC) regulatory requirements while overseeing the resolution of customer complaints in accordance with the SEC’s Complaint Management Rules.
Serve as a key business advisor, providing expert guidance on daily compliance matters and assisting leadership with strategic fund governance decisions.
Qualifications, Skills, and Attributes: Candidates must possess a bachelor’s degree in a relevant field, such as Computer Science, Engineering, or Business Administration. Proficiency in project management software, including Microsoft Project or Asana, is required, along with strong analytical and problem-solving abilities. Excellent communication and interpersonal skills are essential for collaborating with cross-functional teams and stakeholders. Prior experience in a similar role, preferably in a fast-paced environment, is highly desirable. Familiarity with industry-specific regulations and compliance standards is a must. The ideal candidate will demonstrate adaptability, attention to detail, and a proactive approach to task management.
A Compliance Officer position requires sponsorship from the U.S. Securities and Exchange Commission (SEC).
Requires 7 to 9 years of demonstrated expertise in compliance, with a primary focus on the fund management industry.
Proficient in SEC regulations, AML/CFT/CPF compliance, and Nigerian capital market laws.
Demonstrates strong analytical abilities, exceptional problem-solving skills, and meticulous attention to detail.
A self-starter with the ability to manage tasks autonomously and deliver results without constant oversight.
Exceptional proficiency in legal research and drafting, coupled with meticulous attention to detail.
Proficient in both written and verbal communication, with a strong aptitude for people management and cultivating meaningful professional relationships.
Highly organized with a strong ability to prioritize and execute multiple tasks effectively, ensuring consistency and accuracy in all deliverables.
Proficient in assessing and reconciling legal and commercial priorities to achieve optimal outcomes.
Maintains the highest standards of ethical conduct and professional behavior.
A dedicated team member who thrives in collaborative environments, committed to driving shared objectives and fostering group success.
Qualifications
BA/BSc/HND
Experience Required
7 - 9 years
