Role Summary:
The Legal and Compliance Manager will be responsible for supervising regulatory compliance and legal advisory functions, ensuring strict observance of capital market regulations and fund management laws. Candidates must hold SEC sponsorship and possess a proven track record in fund management compliance.
Oversee critical functions including strategic planning, operational management, and cross-functional collaboration to drive organizational objectives. Ensure adherence to industry standards and regulatory compliance while fostering innovation and efficiency. Develop and implement policies, procedures, and performance metrics to optimize workflows and enhance productivity. Lead and mentor teams, facilitating professional growth and aligning individual goals with company priorities. Analyze market trends, competitive landscapes, and financial data to inform decision-making and strategic initiatives. Serve as a liaison between senior leadership and operational staff, communicating key priorities and ensuring alignment with overall business strategy.
Design and execute robust compliance frameworks that adhere to Securities and Exchange Commission regulations and other applicable legal mandates, while ensuring all operational activities fully comply with industry standards, internal policies, and ethical guidelines.
Ensure the meticulous preparation, submission, and verification of all regulatory filings, maintaining strict adherence to deadlines for timely delivery.
Monitor and oversee compliance risks while formulating strategic measures to reduce regulatory vulnerabilities.
Act as the main point of contact for regulatory authorities, coordinating Securities and Exchange Commission examinations and audits while fostering productive relationships with entities such as the Financial Reporting Council and other relevant regulators.
Offer expert legal guidance to uphold adherence to fund management agreements, client mandates, and industry standards.
Facilitate internal compliance training initiatives aimed at cultivating a culture of accountability, heightened awareness, and strict adherence to statutory regulations.
Oversee the development, periodic evaluation, and revision of compliance-related policies—including the Compliance Manual, Anti-Money Laundering policies, and the Complaint Management Policy—to ensure alignment with regulatory standards and organizational objectives.
Monitor regulatory developments, assess proposed legislation and regulations, and evaluate their implications for the Group’s operational activities.
Facilitate the registration and ongoing management of a sufficient number of SEC Sponsored Individuals across each company within the Group.
Proactively investigate and rectify any identified regulatory breaches or infractions to maintain compliance and prevent penalties or further violations.
Develop and oversee regular compliance audits and mandatory training programs in accordance with legal requirements.
Support the preparation, examination, and validation of legal and commercial documents while delivering legal assistance to all operational units.
Compile compliance reports and distribute notifications regarding pertinent regulatory changes to all organizational units.
Ensure strict adherence to Know Your Customer (KYC) policies while overseeing customer complaint resolution in accordance with SEC Rules on Complaint Management.
Serve as a reliable consultant, providing expert guidance on routine compliance issues while assisting leadership in key strategic fund governance decisions.
Qualifications, Skills, and Attributes: Candidates must possess a bachelor’s degree or higher in a relevant field, such as business administration, finance, or economics. Proficiency in data analysis, financial modeling, and reporting tools is essential, along with strong interpersonal and communication skills for stakeholder engagement. Prior experience in a similar role, typically a minimum of five years, is required. Demonstrated leadership abilities and a results-driven mindset are crucial for success in this position. Familiarity with industry regulations and compliance standards is also necessary.
A Certified Compliance & Ethics Professional (CCP) credential from the Society of Corporate Compliance and Ethics (SCC), recognized by the U.S. Securities and Exchange Commission (SEC), is required.
Requires a minimum of seven to nine years of hands-on compliance experience, with a strong focus on the fund management industry.
Proficient in SEC regulations, AML/CFT/CPF requirements, and Nigerian capital market legislation.
Analytical acumen of the highest caliber, coupled with a meticulous approach to problem resolution and an unwavering focus on detail, is essential.
Self-starters with exceptional initiative and the ability to operate autonomously are essential for this role.
Exceptional proficiency in legal research and drafting, coupled with meticulous attention to detail, is essential.
Proficient in both written and oral communication, adept at managing teams, and skilled in cultivating strong professional relationships.
Highly organized, this individual demonstrates exceptional skill in managing multiple tasks concurrently with precision and efficiency.
Demonstrated skill in effectively managing the interplay between legal frameworks and commercial objectives.
Maintains the utmost ethical standards and demonstrates unwavering professionalism in all interactions.
A dedicated team member who excels in working collaboratively to accomplish shared objectives.
Qualifications
BA/BSc/HND
Experience Required
7 - 9 years
