We are seeking a highly motivated professional to join our team in a dynamic and collaborative environment. The ideal candidate will bring a strong background in [specific field or industry, if applicable] and possess exceptional problem-solving skills, enabling them to tackle complex challenges with creativity and precision. Key responsibilities include [list 1-2 primary duties], along with the ability to [list 1-2 additional responsibilities], all while maintaining a keen attention to detail and adherence to [specific standards, regulations, or guidelines, if applicable]. Proficiency in [mention relevant tools, software, or systems] is required, and experience in [mention any years or types of experience] is highly preferred. The successful applicant will demonstrate excellent communication abilities, both written and verbal, and a commitment to fostering a positive and inclusive workplace culture. This role offers opportunities for professional growth and the chance to contribute meaningfully to impactful projects within our organization.
The Compliance Officer plays a pivotal role in ensuring adherence to all relevant laws, regulations, guidelines, and directives set forth by the Nigerian Securities and Exchange Commission (SEC) and other pertinent regulatory bodies. This position entails designing, executing, and sustaining a robust compliance framework aimed at minimizing regulatory risks while fostering a strong culture of compliance across the organization.
Our position requires you to oversee and implement key operational tasks, ensuring seamless workflows and adherence to company standards. You will collaborate with cross-functional teams to drive project execution, monitor progress, and address any challenges that may arise. Your responsibilities include maintaining accurate documentation, analyzing performance metrics, and providing strategic recommendations to enhance efficiency. Additionally, you will be responsible for training and mentoring staff, fostering a culture of continuous improvement and accountability. The role demands strong organizational skills, attention to detail, and the ability to meet strict deadlines while aligning with organizational goals.
Ensures adherence to all applicable laws, regulations, and industry standards governing organizational operations, covering areas such as data protection, financial integrity, and operational safety. Develops, implements, and maintains policies, procedures, and controls to mitigate risks and ensure compliance with legal and regulatory obligations. Conducts regular audits, assessments, and monitoring activities to identify gaps, non-compliance issues, and areas for improvement, while providing timely reports to management and relevant stakeholders. Collaborates with cross-functional teams, including legal, operations, and senior leadership, to interpret regulatory requirements and integrate compliance measures into business practices. Stays informed of evolving regulatory landscapes, emerging risks, and best practices to proactively address potential challenges and support strategic decision-making.
Ensure adherence to SEC Rules and Regulations, the Investments and Securities Act (ISA), Anti-Money Laundering (AML) and Counter-Terrorist Financing (CFT) regulations, as well as all other relevant legal requirements.
Monitor and promptly communicate regulatory updates and changes to senior management, ensuring they are fully apprised of developments that impact the firm’s operational landscape.
Verify compliance with all licensing terms and regulatory obligations.
Ensures adherence to regulatory standards and internal policies through systematic oversight and evaluation. Conducts routine audits, reviews documentation, and identifies potential risks to mitigate compliance violations. Collaborates with cross-functional teams to implement corrective actions and enhance operational integrity. Maintains accurate records of findings and communicates discrepancies to management for resolution. Requires attention to detail, strong analytical skills, and familiarity with industry-specific regulations.
Devise and execute the organization’s compliance oversight framework to ensure adherence to regulatory standards and internal policies.
Perform regular compliance evaluations and audits of operational activities.
Conduct thorough assessments to detect compliance deficiencies and propose appropriate measures for remediation.
Responsible for compiling, verifying, and submitting accurate financial and operational reports to regulatory authorities in accordance with established guidelines and deadlines. Ensures compliance with all applicable laws, regulations, and internal policies through meticulous review and validation of data. Collaborates with cross-functional teams, including finance, legal, and operations, to gather necessary information and resolve discrepancies. Maintains comprehensive documentation and audit trails to support reporting accuracy and facilitate regulatory examinations. Identifies trends, risks, or control gaps and recommends improvements to enhance reporting processes and mitigate compliance risks.
Compile and file all required statutory and regulatory reports for the SEC and other pertinent authorities promptly and in accordance with specified deadlines.
Ensure all compliance records and regulatory filings are meticulously maintained and kept up to date.
Coordinate and manage responses to regulatory inspections, examinations, and inquiries.
Ensures adherence to Anti-Money Laundering (AML), Counter-Terrorism Financing (CFT), and Know Your Customer (KYC) regulations through rigorous compliance measures. Develops, implements, and maintains robust policies, procedures, and controls to mitigate financial crime risks and detect suspicious activities. Conducts thorough customer due diligence, monitors transactions for red flags, and reports potential breaches in accordance with regulatory requirements. Collaborates with cross-functional teams to enhance compliance frameworks and conducts regular audits to assess the effectiveness of AML/CFT and KYC processes.
Responsible for supervising the execution of Anti-Money Laundering (AML), Counter-Terrorism Financing (CTF), and Know Your Customer (KYC) protocols to ensure compliance with regulatory standards.
Examine customer onboarding documents and Know Your Customer (KYC) records meticulously to verify their thoroughness and adherence to regulatory standards.
Monitor financial activities diligently to detect and flag any transactions that appear irregular or potentially fraudulent, promptly submitting reports in full compliance with all applicable regulatory standards.
Developing and refining policies entails drafting, reviewing, and implementing organizational guidelines to ensure compliance with regulations, operational efficiency, and alignment with strategic objectives. This role requires a keen understanding of regulatory frameworks, meticulous attention to detail, and the ability to collaborate with stakeholders to gather insights and address diverse perspectives. Key responsibilities include conducting thorough research, analyzing data, and assessing potential risks to inform policy decisions, as well as communicating updates clearly to relevant parties. The ideal candidate will possess strong analytical skills, proficiency in policy analysis tools, and experience in stakeholder engagement to drive informed and sustainable policy solutions.
Craft, evaluate, and revise compliance policies, procedures, and internal controls to ensure alignment with regulatory standards and organizational objectives.
Ensure that policies consistently adhere to regulatory mandates and industry standards.
Developing and implementing training programs as well as fostering a culture of awareness are essential responsibilities to ensure organizational competency and compliance. This role involves designing educational materials, delivering sessions, and assessing the effectiveness of learning initiatives to enhance employee skills and knowledge. Additionally, it requires staying current with industry best practices and regulatory requirements to maintain alignment with evolving standards.
Deliver comprehensive compliance and anti-money laundering/anti-terrorism financing training sessions for all staff members.
Educate employees on regulatory requirements and ethical guidelines to ensure firm-wide compliance and integrity.
Serves as a key intermediary between the organization and regulatory bodies, ensuring adherence to all applicable laws, regulations, and industry standards. Facilitates clear and timely communication to address inquiries, provide documentation, and resolve issues with regulators. Monitors changes in regulatory frameworks to assess their impact on operations and implements necessary adjustments. Collaborates with internal teams to develop compliance strategies, policies, and procedures. Prepares and submits required reports, filings, and applications to regulatory authorities. Provides expert guidance to leadership on regulatory risks and compliance obligations. Ensures the organization remains in full compliance with current and evolving regulatory requirements.
Act as the principal liaison with the U.S. Securities and Exchange Commission (SEC) and other regulatory bodies, ensuring compliance with all applicable rules and facilitating transparent communication.
Coordinate regulatory examinations, audits, and compliance reviews to ensure adherence to applicable laws, regulations, and internal policies.
Implement recommendations stemming from regulatory inspections to ensure full compliance and operational alignment with established standards.
The role involves identifying, assessing, and mitigating potential risks to ensure organizational stability and compliance with regulatory standards. Key responsibilities include analyzing financial, operational, and strategic risks, implementing control measures, and developing contingency plans. Proficiency in risk assessment methodologies, regulatory frameworks, and industry best practices is required, along with strong analytical, problem-solving, and communication skills. The ideal candidate will have experience in risk evaluation, crisis management, and the ability to collaborate with cross-functional teams to foster a proactive risk-aware culture.
Evaluate potential compliance risks throughout the entire organization to determine their scope and impact.
Conduct thorough examinations of potential compliance violations and propose corrective measures to address identified issues.
Ensure the proper execution of corrective actions as they are implemented to address identified issues and maintain compliance with established standards.
Bachelor’s degree in a related field or equivalent experience is required. Proficiency in Microsoft Office Suite and familiarity with project management tools are essential. Strong communication and organizational skills are necessary. Experience in a similar role, preferably in the industry, is preferred. Ability to work independently and collaboratively in a team environment is required.
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 the capital markets or financial services sector is essential. Additionally, candidates must have successfully completed the National Youth Service Corps (NYC) program or provide proof of exemption.
Professional certifications like CAMS (Certified Anti-Money Laundering Specialist) or ICA (International Compliance Association) are highly beneficial.
Proficient understanding of SEC Rules and Regulations, the Investments and Securities Act (ISA), AML/CFT mandates, as well as other relevant regulatory frameworks is required.
Preferably, candidates should be SEC Registered Investment Adviser Representatives or eligible to obtain such registration.
Demonstrates proficiency in a diverse set of technical and interpersonal abilities essential for effective performance in the role. Exhibits strong analytical thinking, problem-solving capabilities, and meticulous attention to detail to ensure accuracy and efficiency. Maintains a collaborative approach to teamwork, fostering clear communication and mutual respect among colleagues. Adapts swiftly to evolving priorities and challenges while upholding high standards of professionalism and accountability. Possesses advanced organizational skills to prioritize tasks effectively and deliver results within established timelines. Embraces a commitment to continuous learning and improvement to stay aligned with industry best practices and technological advancements.
Possesses comprehensive expertise in SEC Rules and Regulations as well as the Investments and Securities Act.
A strong familiarity with Anti-Money Laundering (AML), Counter-Terrorism Financing (CFT), and Know Your Customer (KYC) regulatory requirements is essential.
Exceptional proficiency in analytical reasoning, investigative techniques, and report generation is essential.
Proven ability to communicate effectively in both written and verbal formats.
Displays a high degree of integrity, professionalism, and confidentiality in all professional interactions.
Proven capability to autonomously execute responsibilities while fostering productive relationships with regulatory bodies and executive leadership.
Track progress and evaluate success through clearly defined Key Performance Indicators (KPIs), ensuring alignment with organizational objectives and facilitating data-driven decision-making to enhance overall performance.
Ensure all regulatory returns and reports are submitted punctually and in accordance with applicable deadlines.
Achieves outstanding results in regulatory examinations while maintaining an exceptionally low incidence of findings.
Redesigned AML/CFT monitoring and control frameworks enhance detection capabilities and ensure regulatory compliance.
Successfully fulfilling mandatory compliance training programs is essential.
Promptly addressing any compliance issues that arise, ensuring resolution is achieved within the mutually agreed-upon deadlines, is a key responsibility in this role.
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To submit your application, please utilize the provided links on the company’s official website.
Qualifications
BA/BSc/HND
