Seeking a highly motivated professional to join our team in a critical role, overseeing key operations and driving project success. The ideal candidate will possess a Bachelor’s degree in a relevant field, along with at least three years of hands-on experience in a similar capacity. Strong analytical, problem-solving, and communication skills are essential, along with proficiency in industry-specific software and tools. Key responsibilities include managing daily workflows, coordinating cross-functional teams, and ensuring adherence to organizational policies and deadlines. The position demands adaptability, meticulous attention to detail, and the ability to thrive in a fast-paced environment while delivering measurable results.
The Compliance Officer ensures full adherence to all relevant laws, regulations, guidelines, and directives from the Nigerian Securities and Exchange Commission (SEC) and other pertinent regulatory bodies. This role involves designing, executing, and sustaining a robust compliance framework to minimize regulatory risks while fostering a strong culture of compliance across the organization.
Job Responsibilities
Ensures adherence to all applicable regulatory standards, laws, and internal policies to mitigate legal and operational risks while maintaining organizational integrity and compliance with industry requirements.
Ensure adherence to SEC Rules and Regulations, the Investments and Securities Act (ISA), AML/CFT regulations, and all other relevant legal requirements.
Ensure senior leadership remains apprised of evolving regulations and amendments that may impact the organization’s activities.
Ensure strict compliance with all licensing conditions and regulatory mandates to uphold organizational integrity and legal adherence.
Compliance monitoring involves the systematic assessment and verification of adherence to regulatory standards, internal policies, and industry best practices to mitigate risks and ensure organizational integrity. This role requires a meticulous attention to detail, strong analytical capabilities, and a thorough understanding of applicable laws and compliance frameworks. Responsibilities include conducting routine audits, evaluating operational processes, identifying potential gaps or non-compliance issues, and recommending corrective actions. Additionally, the position demands effective communication skills to report findings, collaborate with stakeholders, and support continuous improvement initiatives.
Design and execute the firm’s compliance monitoring program to ensure adherence to regulatory standards and internal policies.
Perform regular evaluations and audits of business operations to ensure adherence to compliance standards and regulations.
Conduct thorough assessments to uncover compliance deficiencies and propose strategic measures to address them.
Ensures accurate and timely preparation and submission of regulatory reports in adherence to applicable laws and standards. Collaborates with cross-functional teams to gather necessary data and validate information for precision. Monitors regulatory updates to implement required changes promptly. Maintains comprehensive documentation and records to demonstrate compliance. Provides support during audits and examinations by regulatory bodies. Identifies potential risks and recommends corrective actions to mitigate issues.
Compile and file all statutory and regulatory reports with the SEC and other applicable regulatory bodies in strict adherence to established deadlines.
Ensure meticulous documentation of compliance records and regulatory filings in accordance with established standards.
Oversee the preparation and execution of responses to regulatory inspections, examinations, and inquiries, ensuring compliance with applicable standards and timelines.
Compliance with Anti-Money Laundering (AML), Counter-Terrorism Financing (CFT), and Know Your Customer (KYC) regulations is essential to ensure adherence to legal and industry standards. This role requires a thorough understanding of regulatory frameworks, risk assessment methodologies, and the implementation of robust compliance procedures. Responsibilities include monitoring transactions, identifying suspicious activities, conducting customer due diligence, and maintaining accurate records in accordance with applicable laws. Proficiency in compliance tools, strong analytical skills, and meticulous attention to detail are critical to mitigating financial crime risks and safeguarding organizational integrity.
You will be responsible for managing the execution of Anti-Money Laundering (AML), Counter-Terrorism Financing (CTF), and Know Your Customer (KYC) protocols.
Examine customer onboarding documentation and Know Your Customer (KYC) records meticulously to verify thoroughness and adherence to regulatory standards.
Monitor transactions diligently to detect any irregularities and submit reports promptly in full compliance with applicable regulatory standards.
The formulation of policies involves conducting thorough research, analyzing data, and consulting with stakeholders to create comprehensive and effective guidelines. This role requires a deep understanding of regulatory frameworks, industry standards, and organizational objectives to ensure alignment with legal and operational requirements. Responsibilities include drafting, reviewing, and revising policy documents, assessing potential impacts, and collaborating with cross-functional teams to implement changes. Strong analytical skills, attention to detail, and the ability to communicate complex concepts clearly are essential for success in this position.
Develop, evaluate, and revise compliance policies, procedures, and internal controls to ensure alignment with regulatory standards and organizational objectives.
Maintain policies in accordance with regulatory mandates and established industry standards to ensure ongoing compliance and excellence.
The role focuses on delivering comprehensive training programs and fostering awareness initiatives to ensure organizational compliance and competency. Responsibilities include designing, developing, and implementing training modules tailored to diverse audiences, as well as evaluating their effectiveness through assessments and feedback mechanisms. The position requires expertise in instructional design, strong communication skills, and the ability to engage stakeholders at all levels. Additionally, the role involves promoting a culture of continuous learning and ensuring adherence to industry standards and regulatory requirements.
Deliver comprehensive compliance and anti-money laundering/counter-terrorism financing training sessions to employees.
Educate and inform employees at all levels about regulatory obligations and ethical standards to ensure company-wide compliance and integrity.
The Regulatory Liaison serves as a critical bridge between the organization and external regulatory bodies, ensuring compliance with all applicable laws and standards. This role involves interpreting complex regulations, providing strategic guidance, and facilitating smooth interactions with agencies. Key responsibilities include monitoring regulatory developments, preparing detailed submissions, and addressing inquiries from regulators. The position requires strong analytical skills, meticulous attention to detail, and the ability to communicate technical information clearly to diverse stakeholders. A deep understanding of regulatory frameworks and prior experience in a similar capacity are essential for success in this role.
Act as the main liaison between the organization and the SEC along with other regulatory bodies.
Oversee regulatory examinations, audits, and compliance assessments to ensure adherence to established standards and protocols.
Oversee the execution of recommendations derived from regulatory inspections to ensure full compliance and operational alignment.
Experienced professionals adept at identifying, assessing, and mitigating potential risks are encouraged to apply for this critical role. Candidates must demonstrate expertise in evaluating financial, operational, and strategic risks to safeguard organizational assets and ensure compliance with regulatory standards. Responsibilities include developing risk mitigation strategies, conducting thorough risk analyses, and implementing robust control measures to minimize exposure. Strong analytical skills, attention to detail, and proficiency in risk assessment tools are essential for success in this position. Additionally, the ability to communicate complex risk concepts clearly and effectively is required.
Conduct a comprehensive evaluation of compliance risks present throughout the organization.
Examine instances of non-compliance and propose corrective measures to address deficiencies.
Oversee the execution of remedial actions to ensure compliance and alignment with established standards.
Bachelor’s degree or higher in Computer Science, Engineering, or a closely related discipline is required. Proficiency in Java, Python, or C++ is essential, along with expertise in software development methodologies and agile practices. Candidates must possess strong analytical and problem-solving capabilities to address technical challenges effectively. Excellent teamwork and communication skills are necessary to collaborate across departments and stakeholders. Prior experience in a similar role or industry is preferred, with a minimum of three years in a relevant position. Understanding of cloud platforms such as AWS, Azure, or Google Cloud would be advantageous. Knowledge of DevOps practices and CI/CD pipelines is a plus.
A Bachelor of Laws degree (LL.B.) and active membership in the Nigerian Bar Association (NBA) are advantageous qualifications.
A minimum of four to five years of hands-on experience in compliance, legal, risk management, or regulatory roles within capital markets or financial services is required. Additionally, candidates must have successfully completed the National Youth Service Corps (NYC) program or provide a valid NYC exemption certificate.
Professional certifications like the Certified Anti-Money Laundering Specialist (CAMS) or the International Compliance Association (ICA) credential, or an equivalent qualification, will be considered advantageous.
Proficiency in SEC Rules and Regulations, the Investments and Securities Act (ISA), AML/CFT mandates, and relevant regulatory frameworks is essential.
We seek a candidate who is either an SEC Sponsored Individual or eligible to obtain such status.
Proficient in a variety of technical and soft skills, candidates should possess strong analytical capabilities, effective communication skills, and the ability to collaborate seamlessly within cross-functional teams. Demonstrated expertise in problem-solving, project management, and data-driven decision-making is essential. Familiarity with industry-specific tools and software is required, along with a commitment to continuous learning and professional development. The ideal candidate will exhibit leadership qualities, adaptability in dynamic environments, and a results-oriented mindset to drive organizational success.
Proficient in SEC Rules and Regulations as well as the Investment Advisers Act, ensuring full compliance with federal securities laws.
Demonstrates a solid grasp of Anti-Money Laundering (AML) and Counter-Terrorism Financing (CFT) regulations alongside robust Know Your Customer (KYC) compliance standards.
Exhibits exceptional proficiency in analysis, investigation, and the preparation of detailed reports.
A strong command of both written and verbal communication is essential for this role.
Maintaining unwavering integrity, demonstrating a high degree of professionalism, and upholding strict confidentiality are essential requirements for this role.
Demonstrates strong self-motivation while collaborating seamlessly with regulatory bodies and senior leadership teams.
Key Performance Indicators (KPIs) serve as measurable metrics to evaluate the success and efficiency of operations, projects, or individuals within an organization. These indicators provide quantifiable data to assess progress toward predefined goals, ensuring alignment with strategic objectives and facilitating informed decision-making. They are instrumental in tracking performance across various domains, including productivity, quality, timeliness, and financial outcomes, thereby enabling continuous improvement and accountability.
All regulatory returns and reports must be submitted punctually.
Achieves regulatory examinations with a high degree of compliance, yielding minimal findings.
Ensuring robust AML/CFT monitoring and control mechanisms are in place to mitigate financial crime risks effectively.
Completion of all mandatory compliance training programs is essential for this role, ensuring adherence to regulatory standards and organizational policies.
Promptly addressing any compliance concerns that arise, ensuring they are resolved within the mutually agreed-upon deadlines.
To initiate the application process, please submit your materials through the designated submission method outlined below. Ensure all required documents and information are included to facilitate a thorough review of your candidacy. Tailor your submission to meet the specified formatting and content guidelines to enhance your prospects of progressing to the next stage of evaluation.
To submit your application, kindly utilize the provided link(s) on the company’s official website.
Qualifications
BA/BSc/HND
