As the successful candidate, you will play an integral role in supporting key initiatives and driving project success through collaborative efforts with cross-functional teams. This position requires a proactive approach to problem-solving, exceptional organizational skills, and the ability to communicate effectively across all levels of the organization. Responsibilities include executing tasks with precision, maintaining detailed records, and ensuring compliance with established policies and procedures. The ideal candidate will possess relevant experience in [industry/field], strong analytical capabilities, and a commitment to continuous improvement. Additionally, you will be expected to contribute innovative ideas to enhance operational efficiency while adhering to deadlines and budgetary constraints.
The Legal and Compliance Manager will provide oversight of regulatory compliance and legal advisory responsibilities, ensuring full adherence to capital market regulations and fund management laws. Candidates must hold SEC-Sponsored Individual status and possess a proven track record in fund management compliance.
Key Accountabilities: Drive strategic initiatives to enhance operational efficiency and foster innovation within the organization. Lead cross-functional teams to execute projects that align with company objectives and deliver measurable value. Oversee daily workflows, ensuring adherence to best practices and compliance with industry standards. Develop and implement policies that support scalable growth while maintaining a focus on quality and customer satisfaction. Serve as a liaison between executive leadership and departmental teams to facilitate seamless communication and alignment. Monitor performance metrics and provide data-driven insights to guide decision-making and continuous improvement.
Develop, execute, and oversee robust compliance frameworks to ensure full alignment with Securities and Exchange Commission mandates and other regulatory obligations, while maintaining adherence to industry regulations, internal policies, and ethical principles.
Ensure the meticulous preparation, submission, and accuracy of all regulatory filings, with a strong emphasis on maintaining punctuality in every submission.
Monitor and oversee compliance risks, formulating strategic measures to reduce regulatory vulnerabilities.
Act as the key point of contact for regulatory bodies, coordinating Securities and Exchange Commission inspections and audits while fostering strong, cooperative relationships with agencies such as the Financial Reporting Council and other relevant stakeholders.
Offer legal advisory services to guarantee adherence to fund management agreements, client mandates, and industry best practices.
Deliver internal compliance training programs designed to instill a culture of accountability, regulatory awareness, and 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 Complaint Management Policy.
Monitor regulatory developments, assess proposed legislation and regulations, and provide strategic guidance on their implications for the Group’s operations.
Facilitate the registration and ongoing management of a sufficient number of SEC Sponsored Individuals for each company within the Group.
Proactively identify and rectify any regulatory breaches or infractions to prevent penalties or violations from occurring.
Develop and oversee the scheduling of regular compliance audits and mandatory training sessions in accordance with applicable legal requirements.
Assist in the preparation, evaluation, and verification of legal and commercial documentation, offering legal assistance across all organizational units.
Draft compliance reports and distribute notifications about pertinent regulatory updates to all departments.
Ensure adherence to Know Your Customer (KYC) regulations while overseeing customer complaint resolution in accordance with SEC Complaint Management Rules.
Serve as a reliable business advisor, providing guidance on routine compliance issues and assisting management with critical strategic fund governance decisions.
We are seeking a candidate with a strong academic background in a relevant field, complemented by professional experience in a related industry. The ideal applicant will possess advanced analytical abilities, exceptional problem-solving skills, and the capacity to work both independently and collaboratively in a dynamic environment. Proficiency in industry-specific software, tools, or methodologies is essential, and candidates must demonstrate a commitment to continuous learning and professional development. Strong communication skills, both written and verbal, are required to effectively engage with stakeholders at all levels. Additionally, the ability to manage multiple priorities, meet tight deadlines, and adapt to changing business needs is highly valued. Candidates should also exhibit leadership potential, a proactive mindset, and a dedication to delivering high-quality results with precision and efficiency.
Must hold an Individual sponsorship from the SEC (Compliance Officer).
A minimum of seven to nine years of hands-on experience in compliance, with a focus on the fund management industry, is required.
Proficient in SEC regulations, AML/CFT/CPF compliance standards, and Nigerian capital market legislation.
Demonstrates outstanding analytical and problem-solving abilities, coupled with meticulous attention to detail.
Proactive professional with the ability to operate autonomously and manage responsibilities without constant oversight.
Proficient in conducting thorough legal research and drafting documents with meticulous accuracy and a keen eye for detail.
Possesses strong written and verbal communication abilities, along with proficient people management and relationship-building expertise.
Highly organized with a strong capacity to prioritize and execute multiple tasks concurrently.
Proficient in assessing and reconciling legal and commercial factors with equal proficiency.
Maintains the highest standards of integrity and professionalism in all aspects of the role.
Demonstrated ability to thrive in team environments while driving shared objectives and fostering a collaborative culture. Committed to leveraging individual strengths to contribute to the success of the group and uphold collective accountability.
Qualifications
BA/BSc/HND
Experience Required
7 - 9 years
