The position involves overseeing and executing key responsibilities to drive project success and team efficiency. Essential qualifications include a proven track record in the field, along with strong analytical and communication skills. Core duties encompass strategic planning, stakeholder engagement, and performance monitoring to ensure alignment with organizational objectives. The ideal candidate will demonstrate adaptability, leadership, and a commitment to continuous improvement in a dynamic work environment.
The Legal and Compliance Manager will provide strategic oversight of regulatory compliance and legal advisory functions, ensuring strict adherence to capital market regulations and fund management laws. Candidates must hold SEC sponsorship and possess proven expertise in fund management compliance.
Oversee a broad spectrum of critical duties encompassing strategic planning, operational execution, and team leadership to drive organizational success. Develop and implement comprehensive policies, procedures, and performance metrics to ensure alignment with business objectives and regulatory standards. Collaborate with cross-functional teams to foster innovation, optimize workflows, and enhance productivity across all departments. Monitor key performance indicators, analyze data trends, and provide actionable insights to senior leadership to support informed decision-making. Serve as a primary liaison between executive leadership and staff, facilitating transparent communication and cultivating a high-performance culture. Ensure compliance with industry regulations, mitigate risks, and uphold ethical standards through rigorous oversight and continuous improvement initiatives.
Develop, execute, and oversee robust compliance frameworks that fully align with Securities and Exchange Commission mandates as well as other applicable regulatory obligations, guaranteeing that all operational activities adhere to industry regulations, organizational policies, and ethical principles.
Ensure the meticulous preparation, submission, and accuracy of all regulatory filings, while strictly adhering to established deadlines for timely submissions.
Ensure compliance risks are monitored and managed effectively, crafting strategic solutions to reduce regulatory exposures.
Act as the key point of contact for regulatory authorities, coordinating with bodies such as the Securities and Exchange Commission for inspections and audits while fostering professional relationships with organizations like the Financial Reporting Council and other relevant entities.
Offer expert legal counsel to uphold adherence to fund management agreements, client mandates, and prevailing industry standards.
Deliver internal compliance training initiatives designed to cultivate a culture of accountability, enhance regulatory awareness, and ensure strict adherence to statutory requirements.
Oversee the preparation, regular evaluation, and revision of compliance-related policies, including the Compliance Manual, Anti-Money Laundering policies, and the Complaint Management Policy.
Monitor legislative and regulatory developments, analyze proposed laws and regulations, and assess their implications for the Group’s operational activities.
Facilitate the registration and ongoing maintenance of a sufficient number of SEC Sponsored Individuals for each company within the Group.
Proactively identify and resolve regulatory breaches or infractions to maintain compliance and prevent any penalties or violations.
Develop and organize regular compliance audits and mandatory training programs in accordance with legal requirements.
Support the preparation, examination, and validation of legal and commercial documents while delivering legal assistance across all business units.
Compile compliance reports and distribute notifications regarding pertinent regulatory updates to all departments.
Ensure adherence to Know Your Customer (KYC) policies while overseeing the resolution of customer complaints in compliance with SEC complaint management regulations.
Serve as a reliable counselor, providing business advisory services regarding daily compliance issues and assisting leadership in making strategic decisions related to fund governance.
Qualifications, Skills, and Attributes:
Candidates must possess a bachelor’s degree in a relevant field, along with a minimum of three years of professional experience in a similar role. Proficiency in Microsoft Office Suite and advanced analytical skills are essential. Strong communication and organizational abilities are required, along with the capacity to work independently and collaboratively in a fast-paced environment. Attention to detail and problem-solving capabilities are also necessary.
A compliance officer position requires sponsorship by the U.S. Securities and Exchange Commission (SEC).
With a minimum of seven and up to nine years of hands-on experience in compliance roles, particularly within the fund management industry, candidates are expected to demonstrate a strong track record of success in this specialized field.
Proficient in SEC regulations, AML/CFT/CPF compliance standards, and Nigerian capital market legislation.
Proven ability to analyze complex information, identify key issues, and develop effective solutions while maintaining meticulous attention to detail.
A self-motivated professional with the ability to operate autonomously and take initiative in driving tasks to completion.
Accomplished in conducting comprehensive legal research and producing meticulously crafted written documents, demonstrating an outstanding ability to maintain precision and thoroughness in all tasks.
Outstanding proficiency in both written and verbal communication, coupled with exceptional talent in people management and relationship-building, is essential.
Highly organized with a proven ability to efficiently manage multiple tasks simultaneously.
Proven capability to effectively manage and reconcile legal and commercial priorities is essential.
Maintains the highest standards of integrity and professionalism in all aspects of the role.
A dedicated professional who excels in collaborative settings and is committed to driving team success through shared objectives.
Qualifications
BA/BSc/HND
Experience Required
7 - 9 years
