We are seeking a highly skilled and motivated professional to join our team in this critical role. The ideal candidate will be responsible for executing a range of duties that align with the organization’s strategic objectives while ensuring compliance with industry standards and internal policies. Key responsibilities include overseeing project execution, collaborating with cross-functional teams, and driving innovative solutions to enhance operational efficiency. The position demands a proven track record in [specific field or industry], exceptional problem-solving abilities, and strong leadership competencies. Additionally, the role requires a minimum of [X] years of relevant experience, proficiency in [specific tools or software], and the capacity to adapt to evolving business needs.
The Legal and Compliance Manager will be responsible for directing regulatory compliance initiatives and providing legal guidance, with a focus on capital market regulations and fund management laws. Applicants must hold SEC sponsorship and possess a proven track record in fund management compliance.
Oversee and execute key duties encompassing strategic planning, organizational leadership, and operational efficiency to drive team performance and achieve departmental objectives. Lead initiatives that enhance productivity, streamline processes, and ensure alignment with company goals. Collaborate across departments to foster cross-functional synergy, resolve challenges, and implement solutions that support sustainable growth. Monitor progress through performance metrics, adjust strategies as needed, and provide clear direction to ensure accountability and results. Foster a culture of innovation, continuous improvement, and professional development within the team.
Develop, execute, and oversee robust compliance frameworks that adhere to Securities and Exchange Commission mandates and additional regulatory obligations, while ensuring all operations remain in strict alignment with industry regulations, organizational policies, and ethical guidelines.
Responsible for supervising the preparation, submission, and verification of all regulatory filings to ensure they are completed accurately and submitted on time.
Monitor and oversee compliance risks while formulating strategic initiatives to minimize potential regulatory vulnerabilities.
Act as the key point of contact for regulatory authorities, overseeing interactions with bodies such as the Securities and Exchange Commission during inspections and audits while fostering productive relationships with organizations like the Financial Reporting Council and similar entities.
Ensure adherence to fund management agreements, client mandates, and industry best practices by delivering expert legal advisory support.
Deliver internal compliance training initiatives designed to cultivate a culture characterized by accountability, heightened awareness, and strict adherence to statutory regulations.
Develop, oversee, and revise compliance policies such as the Compliance Manual, Anti-Money Laundering policies, and Complaint Management Policy on an ongoing basis.
Monitor regulatory developments, evaluate proposed legislation and regulations, and provide strategic guidance on their implications for the Group’s operations.
Facilitate the registration and ongoing management of an appropriate number of SEC Sponsored Individuals for each organization within the Group.
Proactively manage and resolve any detected regulatory breaches or violations to prevent penalties or infractions entirely.
Develop and oversee scheduled compliance audits and mandatory training initiatives to ensure adherence with legal requirements.
Provide assistance in the preparation, assessment, and verification of legal and commercial documents, offering legal support to all departments.
Compile compliance reports and distribute notifications regarding pertinent regulatory updates to all departments.
Ensure strict adherence to Know Your Customer (KYC) policies while overseeing customer complaint resolution in full compliance with SEC Complaint Management regulations.
As a trusted advisor, you will provide business advisory services to address day-to-day compliance issues while supporting management in making strategic fund governance decisions.
Qualifications, Skills, and Attributes:
Candidates must hold a bachelor’s degree in a relevant discipline, such as business administration, finance, or accounting, along with a minimum of five years of professional experience in a comparable role. Proficiency in financial modeling, data analysis, and proficiency with enterprise resource planning (ERP) systems are essential. Strong interpersonal and communication abilities are required to collaborate effectively across departments. Prior experience in strategic planning, budget oversight, and performance evaluation is highly valued. Additionally, a commitment to ethical standards, adaptability in dynamic environments, and a results-driven mindset are expected.
A candidate for this position must hold SEC-Sponsored Individual status as a Compliance Officer.
Seeking a seasoned compliance professional with a demonstrated track record of 7 to 9 years of specialized experience in the fund management industry.
Proficient in SEC regulations, AML/CFT/CPF compliance frameworks, and Nigerian capital market legislation, with a comprehensive understanding of applicable legal requirements.
Proven ability to analyze complex information, identify key issues, and develop effective solutions, coupled with meticulous attention to detail.
A self-motivated professional with the ability to operate autonomously and deliver results without constant oversight.
Exceptional proficiency in legal research and drafting is essential, combined with meticulous attention to detail.
Proficient in both written and verbal communication, with a strong ability to manage people and cultivate meaningful professional relationships.
Highly organized with a strong aptitude for prioritizing and executing multiple tasks in a timely and effective manner.
Proficiency in harmonizing legal and commercial imperatives is essential, ensuring alignment with organizational objectives while mitigating risk.
Maintains the highest standards of integrity and professionalism in all aspects of work.
A dedicated professional who thrives in collaborative environments, committed to driving team success and achieving shared objectives.
Qualifications
BA/BSc/HND
Experience Required
7 - 9 years
