Description
Monitor and ensure adherence to SEC regulations, guidelines, and directives.
Maintain up-to-date knowledge of SEC rules and regulations.
Develop and implement compliance policies and procedures.
Identify, assess, and mitigate compliance risks.
Develop and maintain risk management frameworks.
Conduct regular risk assessments.
Prepare and submit all regulatory reports
Ensure timely submission of reports.
Provide compliance training to staff.
Conduct workshops and seminars.
Develop, implement, and maintain internal control systems.
Conduct regular audits and reviews.
Investigate compliance breaches
Maintain compliance records.
Liaise with regulatory bodies.
Participate in industry forums.
Requirements
Minimum of 3 years of experience in an Investment house in an Asset Management Firm
Minimum of Bachelor’s Degree in Finance, Accounting, Economics, Statistics or another closely related field (ICAN,ACCA,CFA is an added advantage)
Knowledge Capital Market products
Knowledge AML/CFT Frame Work and Implementation
Experienced with returns rendition and timeline
Ability to analyze large amounts of data and to compile detailed reports
High attention to detail and excellent analytical skills
Ability to work in a fast-paced, team-based environment with minimal supervision.
Proficiency in Microsoft Office (Excel, Word, PowerPoint) is essential
Must be SEC sponsored individual.
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Interested and qualified candidates should send their applications to: hrdsolutionsnig@gmail.com using the job title as the subject of the mail.
Apply via :
hrdsolutionsnig@gmail.com
