Job Description
To support the company to discharge their responsibilities relating to compliance risk management process as required by relevant regulatory requirements, applicable code of conduct and minimum standards.
Assist line management and other members of staff by providing advice to guide in discharging their responsibilities to ensure compliance with all statutory, regulatory and internal policy requirements.
Protect the reputation of the company
Avoid the institution of legal action against the company.
Ensure good working relation with regulators.
To maintain a good working relationship with the Securities and Exchange Commission(SEC)
To guide all members of staff to act with integrity, diligence, and in an ethical manner in dealing with all clients.
Ensure the company’s timely compliance with all regulatory requirements including but not limited to all periodic and adhoc regulatory reports and obligations
Ensure the appropriate use of compliance risk management tools within the business.
Analyse and identify compliance risks, processes and controls and provide advice to management, relevant committees and the employees in order to effectively manage compliance issues.
The Compliance Officer shall be well trained in the Rules and Guidelines and shall attend regular training sessions as organized or supported by the CBN or SEC.
Responsible for educating the other personnel of periodic updates and adjustments as may be made by SEC from time to time.
Ensure that trainings tailored for the business unit are signed off and, if appropriate, assist in the delivery of the training and awareness.
Customise, if necessary, Group Minimum Standards and facilitate, in consultation with Group Compliance, the process of adoption thereof by the business units.
Request dispensation when policies and procedures deviate from that of minimum standards.
Remain aware of regulatory & legislative developments, and practices of regulatory authorities, which are relevant to the company.
Assist the CEO and business units in implementing existing, new and/or amended regulatory requirements.
Responsible for the management of the company Procedures Manual and monitoring company’s adherence to all business procedures
Ensure a coordinated / aligned strategic approach to and position of, emerging regulatory developments.
To be actively involved in relevant industry/regulatory committees.
Requirements
First Degree in a relevant field including Banking, Finance, Accounting, Business Management, Law, Economics or a Chartered Secretary.
Master’s Degree and/or relevant professional qualifications would be an added advantage
Good Compliance and Risk Management Knowledge
Excellent use of MS Word and MS Excel
Good understanding of the Investment Banking, Stockbroking processes and SEC’s regulatory framework
Good understanding of global financial markets
Good research skills
Minimum of 3-5 years working experience in financial services preferably in an Investment Banking environment or stockbroking with at least 2 years of Compliance experience.
Applicants should send their applications to: hr@clgsecurities.com
Apply via :
hr@clgsecurities.com
