We are seeking a highly motivated individual to join our team in the capacity of a [Job Title], where you will play a pivotal role in driving [specific function or project]. The ideal candidate will possess [X] years of relevant experience in [industry/field], along with a proven track record in [specific skill or responsibility]. Strong proficiency in [software/tool/technique] is essential, as is the ability to collaborate effectively across departments to achieve organizational objectives. Your responsibilities will include [responsibility 1], [responsibility 2], and [responsibility 3], with a focus on delivering measurable results in [specific area]. Additionally, you must demonstrate exceptional problem-solving skills, adaptability in dynamic environments, and a commitment to continuous professional development.
The Compliance Officer ensures adherence to all relevant laws, regulations, guidelines, and directives from the Nigerian Securities and Exchange Commission (SEC) and other pertinent regulatory bodies. This role involves designing, executing, and sustaining a robust compliance framework to minimize regulatory risks while fostering a strong culture of compliance across the organization.
Job Responsibilities
Ensures adherence to all relevant regulatory requirements, industry standards, and internal policies through meticulous monitoring and assessment of operational practices. Identifies potential compliance risks and implements corrective measures to mitigate violations. Conducts regular audits, reviews, and training sessions to foster a culture of compliance across the organization. Collaborates with legal, operational, and executive teams to interpret regulatory changes and integrate necessary adjustments into business processes. Maintains comprehensive documentation of compliance activities and reports findings to senior management to support informed decision-making.
Ensure adherence to SEC Rules and Regulations, the Investments and Securities Act (ISA), AML/CFT regulations, and all relevant legal requirements.
Monitor regulatory updates and promptly inform management of any developments or changes that may impact the firm’s operational activities.
To ensure full compliance with all licensing mandates and regulatory obligations, meticulously monitor and uphold the stipulated conditions and legal standards.
Ensures adherence to regulatory standards by systematically evaluating operational processes, identifying potential risks, and implementing corrective measures. Conducts audits, reviews documentation, and verifies compliance with internal policies and external laws, maintaining detailed records to support findings. Collaborates with cross-functional teams to address gaps, providing guidance on compliance best practices and training staff where necessary. Analyzes trends in compliance data to proactively mitigate risks and recommend improvements to policies or procedures, ensuring the organization remains aligned with evolving legal and industry requirements.
Craft and execute the firm’s compliance monitoring framework to ensure adherence to regulatory standards.
Perform regular evaluations and examinations to ensure adherence to compliance standards across business operations.
Analyze current processes to pinpoint areas of non-compliance and propose strategies for remediation.
Overseeing the preparation and submission of regulatory reports is a critical responsibility within this role. This position demands meticulous attention to detail to ensure full compliance with applicable financial and operational regulations. Key duties include compiling, validating, and submitting accurate reports to regulatory bodies in a timely manner. Proficiency in relevant regulatory frameworks, such as Basel III, Dodd-Frank, or MiFID II, is essential, along with strong analytical skills to interpret complex requirements. Experience with regulatory reporting tools and systems is highly preferred, as is the ability to collaborate effectively with internal stakeholders to gather necessary data. Candidates must possess strong communication skills to articulate findings and ensure alignment with both regulatory standards and organizational policies.
Compile and file all mandated statutory and regulatory reports promptly to the SEC and other applicable regulatory bodies, strictly adhering to prescribed deadlines.
Ensure meticulous maintenance of compliance documentation and regulatory submissions.
Coordinate responses to regulatory inspections, examinations, and inquiries with precision and adherence to established protocols.
Ensures adherence to Anti-Money Laundering (AML), Counter-Terrorism Financing (CFT), and Know Your Customer (KYC) regulations through rigorous compliance measures. Conducts thorough due diligence on clients, transactions, and business relationships to mitigate financial crime risks. Monitors and reports suspicious activities in accordance with legal and regulatory obligations. Develops and implements robust internal policies, procedures, and controls to maintain compliance with evolving AML/CFT/KYC frameworks. Provides training and guidance to staff on compliance requirements and best practices. Collaborates with cross-functional teams, including legal, risk management, and operations, to strengthen the organization’s compliance posture.
You will be responsible for managing 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) files to verify thoroughness and adherence to regulatory standards.
Ensure all suspicious transactions are promptly identified and reported in strict adherence to regulatory mandates.
Drafts, reviews, and implements policies to ensure organizational compliance with legal, regulatory, and industry standards, aligning them with strategic objectives and operational needs. Collaborates with senior leadership, legal teams, and department heads to identify policy gaps, assess risks, and develop clear, actionable guidelines. Conducts research on emerging regulations and best practices to proactively update existing policies or introduce new ones. Ensures policies are effectively communicated across the organization, providing training and support to reinforce understanding and adherence. Monitors policy implementation and evaluates its impact to recommend improvements, maintaining a structured framework that supports consistent decision-making and operational efficiency.
Craft, evaluate, and revise compliance policies, procedures, and internal control frameworks to ensure alignment with regulatory standards and organizational objectives.
Maintain continuous alignment of policies with applicable regulatory mandates and recognized industry standards to ensure ongoing compliance and operational excellence.
We develop and deliver comprehensive training programs and awareness initiatives designed to enhance knowledge, skills, and organizational understanding across various domains. These programs ensure employees are well-informed about company policies, industry standards, and best practices while fostering a culture of continuous learning and compliance. Our efforts aim to mitigate risks, improve performance, and align workforce capabilities with strategic objectives through structured education and engagement strategies.
Deliver compliance and anti-money laundering/combating the financing of terrorism (AML/CFT) training sessions to all employees.
Facilitate firm-wide understanding of regulatory obligations and ethical standards.
The incumbent is tasked with serving as the primary point of contact for regulatory bodies, facilitating seamless communication between the organization and external agencies. This role demands a comprehensive understanding of applicable regulations, ensuring the company’s practices align with legal requirements and industry standards. Key responsibilities include monitoring regulatory updates, interpreting changes, and advising internal stakeholders on compliance obligations. Additionally, the position requires preparing and submitting mandatory reports, coordinating audits, and addressing inquiries from regulatory authorities in a timely and professional manner. Strong analytical skills, meticulous attention to detail, and the ability to navigate complex regulatory landscapes are essential for success in this position.
Act as the main liaison between the organization and regulatory bodies, including the SEC, ensuring seamless communication and adherence to compliance standards.
Oversee regulatory examinations, audits, and compliance assessments, ensuring adherence to established standards and protocols throughout the process.
Implement recommendations that result from regulatory inspections to ensure compliance and operational excellence.
Experienced professionals are sought to oversee the identification, assessment, and mitigation of potential risks to ensure organizational stability and compliance with regulatory standards. The role demands a proactive approach to analyzing threats across various domains, including financial, operational, strategic, and reputational risks. Candidates must possess strong analytical skills, proficiency in risk assessment methodologies, and a deep understanding of industry regulations. Prior experience in risk management within a relevant sector is essential, along with the ability to develop and implement robust risk mitigation strategies. Excellent communication skills are required to report findings and recommendations to stakeholders at all levels. Additionally, familiarity with risk management frameworks and tools, such as ISO 31000 or COST ERM, is highly desirable.
Evaluate potential compliance risks throughout the entire organization to ensure adherence to regulatory standards.
Investigate instances of non-compliance and propose corrective measures to address identified issues.
Oversee the execution of corrective actions to ensure compliance and effectiveness.
A Bachelor’s degree in Electrical Engineering or a closely related discipline is required, complemented by a minimum of three years of hands-on experience in electrical engineering. Proficiency in AutoCAD, Refit, and Navisworks is essential, as is familiarity with NEC (National Electrical Code) and NFPA standards. Candidates must be adept at reading and interpreting blueprints, schematics, and technical drawings. Strong analytical, problem-solving, and communication skills are also necessary, along with the ability to collaborate effectively in a team-oriented environment.
A Bachelor of Laws (LL.B.) degree and active membership in the Nigerian Bar Association (NBA) are desirable 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 required. Candidates must have successfully completed the National Youth Service Corps (NYC) program or provide documentary evidence of an NYC exemption.
Professional certifications like the Certified Anti-Money Laundering Specialist (CAMS) or those offered by the International Compliance Association (ICA), among others of equivalent standing, will strengthen your application.
Proficient understanding of SEC Rules and Regulations, the Investments and Securities Act (ISA), AML/CFT mandates, and other relevant regulatory frameworks is required.
A preference exists for candidates who are SEC Sponsored Individuals or those eligible to qualify as such.
Possesses a robust set of skills and professional competencies that enhance performance and drive results. Demonstrates strong analytical capabilities to interpret data, identify trends, and solve complex problems efficiently. Exhibits exceptional communication skills, both written and verbal, to convey ideas clearly and collaborate effectively with cross-functional teams. Shows proficiency in project management, ensuring timely delivery and adherence to project goals. Exhibits adaptability to changing priorities and environments while maintaining a solution-oriented approach. Maintains a high level of technical expertise relevant to the role, continuously updating knowledge to stay current with industry advancements. Displays leadership qualities, mentoring team members and fostering a culture of accountability and innovation.
Possesses comprehensive expertise in SEC Rules and Regulations as well as the Investments and Securities Act, ensuring full compliance with all applicable provisions.
Demonstrates a solid grasp of Anti-Money Laundering (AML), Counter-Terrorism Financing (CFT), and Know Your Customer (KYC) regulatory obligations and best practices.
Demonstrates exceptional proficiency in data analysis, inquiry, and the preparation of comprehensive reports.
Proficient in both written and oral communication, with a strong ability to convey ideas clearly and effectively.
Maintains the utmost standards of integrity, professionalism, and confidentiality at all times.
Proven capability to operate autonomously while engaging with regulatory bodies and senior leadership with professionalism and clarity.
Measures critical success factors (KPIs) that track progress toward strategic objectives and operational benchmarks.
Ensure all regulatory returns and reports are submitted promptly and in accordance with applicable deadlines.
Achieves comprehensive compliance by successfully passing regulatory examinations with minimal deficiencies identified.
Ensure the efficiency and robustness of anti-money laundering (AML) and counter-financing of terrorism (CFT) monitoring mechanisms and internal controls.
Completion of mandatory compliance training courses is required.
Promptly address all identified compliance discrepancies while meeting established deadlines.
We request candidates to follow the specified application process to submit their materials for consideration. Your application should be directed through the outlined method, ensuring all required documents and information are included as instructed. This approach streamlines the evaluation process and guarantees your submission is reviewed efficiently. Ensure strict adherence to the provided guidelines to avoid any delays in processing your application.
To submit your application, please utilize the provided link(s) on the company’s official website.
Qualifications
BA/BSc/HND
