Job Overview
The Compliance Officer ensures the firm adheres to all statutory obligations, including those mandated by 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 exposure while fostering an organizational culture rooted in compliance.
We are seeking a highly motivated professional to oversee a range of critical duties, including strategic planning, team leadership, and operational execution. The role involves collaborating with cross-functional departments to ensure seamless workflows, monitoring performance metrics to drive continuous improvement, and implementing innovative solutions to enhance productivity. Additionally, the position requires maintaining compliance with industry regulations, fostering a culture of accountability, and providing mentorship to junior team members. Strong analytical skills, exceptional communication abilities, and a track record of delivering measurable results are essential for success in this role.
Ensures adherence to all pertinent regulatory standards, guidelines, and legal mandates relevant to the organization’s operations, minimizing risk exposure and maintaining operational integrity. Develops, implements, and monitors compliance policies and procedures to ensure consistent alignment with evolving regulatory requirements. Conducts thorough assessments, audits, and risk evaluations to identify potential compliance gaps and proactively implements corrective actions. Collaborates with cross-functional teams to foster a culture of compliance across all business units. Provides expert guidance and training to employees and management on regulatory obligations and best practices. Maintains comprehensive documentation of compliance activities and prepares detailed reports for stakeholders and regulatory bodies as required.
Ensure adherence to the Securities and Exchange Commission (SEC) Rules and Regulations, the Investments and Securities Act (ISA), Anti-Money Laundering and Counter-Terrorist Financing (AML/CFT) regulations, and all other relevant legal requirements.
Monitor and promptly communicate any regulatory updates or modifications that may impact the firm’s operational activities to senior management.
Verify full compliance with all licensing terms and applicable regulatory standards.
Ensures adherence to regulatory standards, internal policies, and industry best practices through systematic oversight and evaluation. Conducts routine audits, inspections, and assessments to verify compliance with legal requirements, contractual obligations, and organizational guidelines. Analyzes findings to identify gaps or risks, recommending corrective actions to mitigate non-compliance and enhance operational integrity. Collaborates with cross-functional teams to implement compliance initiatives, provide training, and foster a culture of accountability. Maintains accurate records, reports, and documentation to support regulatory submissions and demonstrate due diligence.
Design and execute the firm’s compliance monitoring framework to ensure adherence to regulatory standards and internal policies.
Perform regular evaluations and audits to ensure adherence to regulatory standards and internal policies across business operations.
Analyze existing compliance frameworks to pinpoint deficiencies and propose targeted measures for resolution.
The position requires compiling, analyzing, and submitting accurate financial and operational data to regulatory authorities in accordance with established guidelines. Key responsibilities include ensuring compliance with reporting deadlines, validating data integrity, and maintaining detailed documentation for audit purposes. Proficiency in regulatory frameworks, strong attention to detail, and effective communication skills are essential. Familiarity with financial systems and reporting tools is preferred, along with the ability to interpret complex regulations and apply them to reporting processes. Experience in a similar role within a regulated industry is advantageous.
Compile and file all statutory and regulatory reports mandated by the SEC and other applicable regulatory bodies promptly and in accordance with prescribed deadlines.
Ensure meticulous preparation and upkeep of all compliance documentation and regulatory submissions.
Ensure timely and effective management of regulatory inspections, examinations, and inquiries by coordinating all related responses.
AML/CFT and Know Your Customer (KYC) compliance professionals are responsible for ensuring adherence to anti-money laundering, counter-terrorism financing, and customer due diligence regulations. They develop, implement, and maintain robust compliance frameworks to detect and prevent financial crimes, while also conducting risk assessments and monitoring transactions for suspicious activities. Additionally, they oversee the verification of customer identities, maintain accurate records, and report any potential violations to regulatory authorities. Strong analytical skills, attention to detail, and a thorough understanding of financial regulations are essential for success in this role.
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 and mitigate financial risks. Your duties will include overseeing the development, implementation, and monitoring of these procedures to maintain adherence to legal requirements and organizational policies.
Examine customer onboarding documentation and KYC records meticulously to confirm their thoroughness and adherence to regulatory standards.
Thoroughly monitor transactions for any irregular or suspicious activity, promptly documenting and escalating findings to comply with all applicable regulatory mandates.
Developing and refining organizational policies is a critical responsibility of this role. The position involves researching regulatory requirements, analyzing industry best practices, and drafting comprehensive policy documents to ensure compliance and operational efficiency. Additionally, the individual will collaborate with cross-functional teams to gather input, assess policy impacts, and implement necessary revisions. Strong analytical skills, attention to detail, and the ability to communicate complex information clearly are essential for success in this position. Familiarity with policy frameworks and prior experience in policy development are highly preferred.
Revise, establish, and maintain compliance policies, procedures, and internal controls to ensure alignment with regulatory standards and organizational objectives.
Ensure that policies continue to comply with all applicable regulatory mandates and adhere to prevailing industry standards and best practices.
The position involves delivering comprehensive training programs and fostering awareness initiatives to enhance employee skills and organizational knowledge. Key responsibilities include developing educational materials, conducting workshops, and measuring the effectiveness of training interventions. Requirements entail expertise in instructional design, proficiency in adult learning principles, and the ability to engage diverse audiences. Strong communication and presentation skills are essential to ensure clarity and retention of information.
Develop and deliver compliance and Anti-Money Laundering/Combating the Financing of Terrorism (AML/CFT) training programs for employees to ensure adherence to regulatory standards and organizational policies.
Facilitate a comprehensive understanding of regulatory obligations and ethical standards throughout the firm to ensure widespread awareness and adherence.
Serves as the primary point of contact and strategic advisor for regulatory matters, ensuring alignment between organizational objectives and evolving regulatory requirements. Collaborates with internal teams and external stakeholders to interpret complex regulations, assess compliance risks, and develop actionable strategies. Duties include monitoring regulatory developments, preparing submissions, and advising leadership on regulatory implications to support informed decision-making. Requires strong analytical skills, attention to detail, and the ability to communicate intricate regulatory concepts clearly to diverse audiences. Experience with regulatory frameworks and a track record of influencing policy outcomes are highly valued.
Act as the primary liaison between the organization and the SEC and other regulatory bodies.
Oversee regulatory examinations, audits, and compliance reviews to ensure adherence to established standards and guidelines.
Implement recommendations derived from regulatory inspections to ensure compliance and operational excellence.
The position is responsible for identifying, assessing, and mitigating potential risks to the organization while ensuring compliance with relevant regulations and internal policies. Key duties include developing and implementing risk management strategies, conducting thorough risk analyses, and monitoring risk exposures across all business operations. The role requires strong analytical skills, attention to detail, and the ability to communicate complex risk information clearly to stakeholders at all levels. Additionally, the candidate must stay updated on industry trends, regulatory changes, and emerging risks to proactively address vulnerabilities. Proficiency in risk assessment tools, data analysis, and regulatory frameworks is essential, along with experience in risk mitigation and contingency planning.
Conduct a comprehensive evaluation of compliance risks spanning the entire organization to proactively identify potential vulnerabilities and areas of concern.
Conduct thorough examinations of potential compliance violations and provide strategic suggestions for corrective measures.
Oversee the execution of corrective actions to ensure adherence to established standards and resolve identified discrepancies efficiently.
Bachelor’s degree in a relevant field such as Accounting, Finance, or Business Administration is mandatory. A minimum of three years of progressive accounting experience is required. Proficiency in QuickBooks and Microsoft Excel is essential. Strong analytical and problem-solving skills are necessary. Excellent communication and organizational abilities are crucial. Candidates must demonstrate attention to detail and a commitment to accuracy. Prior experience in a supervisory role is a plus. Familiarity with GAAP and tax regulations is advantageous. Ability to manage multiple tasks and meet deadlines in a fast-paced environment is expected.
A degree in Law (LL.B.) along with active membership in the Nigerian Bar Association (NBA) would be considered favorable.
Minimum 4–5 years’ tenure in compliance, legal, risk management, or regulatory functions within capital markets or the financial services sector is required. Completion of the National Youth Service Corps (NYC) program or possession of an NYC exemption certificate is mandatory.
Professional certifications such as CAMS (Certified Anti-Money Laundering Specialist), ICA (International Compliance Association), or comparable qualifications will be considered a valuable asset.
Proficiency in SEC Rules and Regulations, the Investments and Securities Act (ISA), AML/CFT requirements, and other relevant regulatory frameworks is essential.
Ideally, a candidate who holds SEC Sponsored Individual status or meets the eligibility requirements to obtain it.
Seeking a candidate with a robust proficiency in key skills and essential competencies tailored to the role, including a strong foundation in [specific skills, e.g., project management, data analysis, or technical expertise], along with the ability to apply them effectively in a dynamic environment. The ideal applicant will demonstrate proven analytical thinking, adaptability to evolving challenges, and exceptional problem-solving capabilities, ensuring alignment with organizational objectives. Additionally, the role demands meticulous attention to detail, effective communication skills, and a collaborative mindset to engage seamlessly with cross-functional teams. Proficiency in [specific tools, software, or methodologies, e.g., SQL, Agile, or CRM systems] is highly desirable, as is the capacity to prioritize tasks efficiently under pressure while maintaining a results-driven approach.
Proficient in SEC Rules and Regulations as well as the Investment Company Act, ensuring full compliance with federal securities laws.
Demonstrates a strong grasp of Anti-Money Laundering (AML), Counter-Terrorist Financing (CFT), and Know Your Customer (KYC) regulatory frameworks.
Exceptional proficiency in analytical reasoning, investigative techniques, and report preparation is required.
Proficient in both written and oral communication with clarity and precision.
Maintains the highest standards of integrity, professionalism, and confidentiality at all times.
Demonstrates strong self-direction while collaborating seamlessly with regulatory bodies and senior leadership.
Measures the effectiveness of initiatives, projects, and processes by evaluating performance against defined benchmarks. Tracks progress toward strategic objectives through quantifiable metrics. Provides data-driven insights to assess efficiency, productivity, and overall success. Supports decision-making by highlighting areas needing improvement or optimization. Ensures alignment with organizational goals through continuous monitoring and evaluation.
All regulatory returns and reports must be submitted promptly and in accordance with applicable deadlines.
Achieves regulatory examinations with minimal findings, demonstrating thorough compliance and adherence to standards.
Ensuring robust AML/CFT monitoring and control mechanisms are implemented and maintained is essential to mitigate financial crime risks effectively.
Professionals must successfully finish all required compliance training programs as part of their onboarding and ongoing professional development.
Promptly addresses any compliance issues that arise, ensuring resolution within the mutually agreed-upon deadlines to uphold regulatory standards and operational integrity.
To initiate the application process, kindly follow the prescribed method of submission outlined below. Ensure all required documentation and information are provided accurately to facilitate a smooth review of your application. This structured approach guarantees that your submission is processed efficiently and meets the necessary criteria for consideration.
To initiate your application, kindly utilize the provided links on the company’s official website.
Qualifications
BA/BSc/HND
