We are seeking a highly motivated professional to fill this critical position, where you will play a key role in driving our team’s success through your expertise and dedication. The ideal candidate will possess a blend of technical proficiency and strong interpersonal skills, enabling them to collaborate effectively with cross-functional teams while delivering measurable results. You will be responsible for executing core responsibilities that include [insert specific responsibilities], ensuring alignment with organizational goals and maintaining high standards of performance. To thrive in this role, you must meet the following requirements: [insert specific requirements], along with a proven ability to adapt to evolving challenges and contribute to continuous improvement. This is a full-time opportunity offering competitive compensation, professional growth prospects, and the chance to make a meaningful impact within a dynamic and forward-thinking organization.
The Legal and Compliance Manager will provide leadership in regulatory compliance and legal advisory services, guaranteeing strict adherence to capital market regulations and fund management laws. Candidates must hold SEC sponsorship and possess proven experience in fund management compliance.
Oversee and execute a comprehensive range of duties, ensuring alignment with organizational objectives, which includes but is not limited to managing project timelines, coordinating team efforts, and maintaining high standards of quality across all deliverables. Collaborate closely with stakeholders to identify key priorities, address potential challenges proactively, and facilitate efficient decision-making processes. Develop and implement strategic initiatives to enhance operational efficiency, foster innovation, and support long-term growth objectives. Monitor performance metrics to assess progress, identify areas for improvement, and execute corrective actions as needed. Ensure adherence to industry regulations, company policies, and best practices while upholding a culture of accountability and continuous development.
Develop, execute, and oversee robust compliance frameworks that adhere to Securities and Exchange Commission regulations and other applicable legal mandates, guaranteeing all operational activities remain fully aligned with industry standards, organizational policies, and established ethical principles.
Ensure all regulatory filings are meticulously prepared, submitted, and verified for accuracy while maintaining strict adherence to deadlines.
Monitor and oversee compliance risks while formulating strategic measures to reduce regulatory vulnerabilities.
As the key point of contact for regulatory bodies, this role involves coordinating Securities and Exchange Commission inspections and audits while fostering positive interactions with entities such as the Financial Reporting Council and other relevant authorities.
Offer legal advisory services to oversee adherence to fund management agreements, client mandates, and industry standards.
Deliver internal compliance training initiatives designed to cultivate a culture of accountability, heightened regulatory awareness, and strict adherence to statutory requirements.
Oversee the preparation, routine evaluations, and revisions of compliance-focused policies, including the Compliance Manual, Anti-Money Laundering policies, and the Complaint Management Policy.
Monitor regulatory changes, assess proposed laws and regulations, and provide strategic guidance on their implications for the Group’s business activities.
Ensure the registration and ongoing management of an appropriate count of SEC Sponsored Individuals across each company within the Group.
Diligently investigate and promptly rectify any regulatory violations or non-compliances to maintain a flawless record, eliminating the risk of penalties or infractions entirely.
Develop and oversee scheduled compliance audits and mandated training programs in accordance with legal requirements.
Provide legal assistance by preparing, evaluating, and verifying legal and commercial documents to ensure compliance and accuracy across all departments.
Compile compliance reports and distribute updates regarding pertinent regulatory changes to all departments.
Ensure strict adherence to Know Your Customer (KYC) policies and oversee the resolution of customer complaints in full compliance with SEC Rules on Complaint Management.
Serving as a strategic partner, you will provide expert business advisory services on routine compliance issues while guiding management through key decisions regarding fund governance strategies.
Qualifications, Skills, and Attributes:
Candidates must possess a bachelor’s degree in finance, accounting, economics, or a related field, supplemented by a minimum of five years of progressive experience in financial analysis or management. Proficiency in financial modeling, budgeting, and forecasting is essential, along with strong analytical and problem-solving abilities. Excellent communication and interpersonal skills are required to collaborate effectively with cross-functional teams and present findings to stakeholders. Familiarity with ERP systems, such as SAP or Oracle, and advanced Excel skills are necessary. Candidates should demonstrate leadership qualities, adaptability, and a commitment to continuous learning in a fast-paced environment.
A Certified Compliance & Ethics Professional (CCP) credential from the Society of Corporate Compliance and Ethics (SCC), or an equivalent SEC-recognized certification, is required.
Requires 7 to 9 years of demonstrated expertise in compliance, with a focus on the fund management industry.
Demonstrates an in-depth understanding of SEC regulations, anti-money laundering (AML), counter-terrorism financing (CFT), and counter-proliferation financing (CPF) measures, alongside comprehensive knowledge of Nigerian capital market laws.
Strong analytical and problem-solving abilities coupled with meticulous attention to detail are essential for this role.
Capable of working independently and demonstrating proactive initiative.
Accomplished in conducting thorough legal research and producing meticulously drafted documents, with a keen eye for precision and accuracy.
Required are exceptional written and verbal communication proficiency, adept people management capabilities, and strong relationship-building expertise.
Highly organized and adept at managing multiple tasks concurrently with precision and efficiency.
Expertise in reconciling legal and commercial imperatives with precision and strategic insight is required.
A strong commitment to ethical standards and professional behavior is essential. Demonstrates a high degree of honesty, accountability, and respect in all interactions and decisions.
Results-oriented professional who thrives in team environments while actively contributing to shared objectives and fostering collaborative relationships to maximize team success.
Qualifications
BA/BSc/HND
Experience Required
7 - 9 years
