Officer, Compliance, Stockbroker

Job Description

Responsible for the Compliance function of the Company, functioning as an independent and objective officer responsible for the review and evaluation of compliance issues/compliance risk management concerns within the organization. Support the day-to-day operation of the Company’s compliance programme.

• Advise the management and ensure employees follow the governing rules and regulations set out by regulatory bodies; and the company’s policies and procedures are not breached.
• Responsible for regulatory change management and interactions with both internal and external stakeholders
• Provide assurance support for the business, by understanding the compliance risk management needs to achieve 100% compliance status.
• Coordinate periodic reviews on regulatory policies and circulars that impact the various business units in line with the regulatory change management process.
• Effectively track the level of compliance with policies such as Personal Trading, Other Business Interest declaration, Gift and Entertainment.
• In conjunction with the relevant stakeholders, ensure that the right risk management practices are sustained.
• Ensure implementation of defined KYC processes and requirement for account opening in line with laid down rules.

Qualifications

• Bachelor’s degree in law, Finance, Business Administration, Economics or a related discipline from a reputable institution.
• Must be SEC-sponsored
• Relevant professional qualification can be an added advantage (e.g. DCP, ICAN, ACCA,  CAMS).

Experience:

• Minimum of 4 years' experience in a compliance, legal, or regulatory role within a financial services or capital market entity.
• Knowledge of AML/CFT/CPF regulations and reporting obligations
• Familiarity with laid down SEC & NGX rules, guidelines, and reporting requirements.

Additional Information

Behavioural Competencies:

• Checking Things
• Documenting Facts
• Embracing Change
• Examining Information
• Following Procedures
• Interpreting Data

Technical Competencies:

• Stakeholder engagement

• Data Analytics

• Compliance with Regulations

• Risk & Compliance Management