Job title : Chief Compliance Officer jobs in Lagos Job Location : Lagos Deadline : June 28, 2024 Quick Recommended Links
Our client is a leading investment banking firm focused on providing financial advisory, capital raising and investment management services for private individuals, institutions, governments and government agencies.
Responsibilities
Ensure all filings are prepared and filed appropriately as at when due to prevent fines and sanctions.
Monitoring and review of all payments and transactions emanating from the Company and to ensure source documents are provided.
Resolving client complaints in line with Compliant Management Framework
Creation of new policy documents in line with new regulatory directive.
Review of existing Client records, proper documentation review of new clients and verification of legal documents.
Client profiling and Classification of Customers, KYC, PEP and BVN Validation
Periodic review personnel and internal expenses.
Periodic review and update of all internal processes across all departments to ensure they are in line with the approved Standard operational Procedure.
Preparation and presentation of Quarterly Risk & Compliance reports to the Board and Management.
Authorization, review, approval, booking & liquidation of investments based on agreed rates and consent from Clients.
Advising the Board and Management on Compliance & Risk matters and liaising with the Company Secretary on legal matters
Training staff on AML/CFT, identifying suspicious transaction and communicating new developments within the market to all staff.
The liaison officer with regulatory authorities (SEC, NFIU) on behalf of the company
Requirements
First Degree in Accounting or Economics.
Minimum of four (4) years in the Capital Market (preferably Fund Management &Investment Banking) and a SEC sponsored Individual.
Other Compliance & AML Certifications will be an added advantage.
Accounting / Financial Services jobs in Nigeria Chief Compliance Officer in Lagos
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