Compliance Officer(Financial services company)

Job Title: Compliance Officer(Financial services company)

Location: Ilupeju, Lagos, Nigeria

Reports To: Group Managing Director / Head of Risk & Compliance

Location: Lagos, Nigeria

Employment Type: Full-Time

Job Summary

The Compliance Officer will be responsible for ensuring that the Financial Services Group complies with all applicable regulatory requirements and internal policies. The Group operates under licenses from the Central Bank of Nigeria (CBN) as a Finance House, from the Nigerian Exchange (NGX) as a Broker/Dealer, and from the Securities and Exchange Commission (SEC) as a Portfolio and Fund Manager. The role includes regulatory liaison, timely submission of statutory returns, internal compliance monitoring, and fostering a culture of ethical conduct.

Key Responsibilities

Regulatory Compliance & Monitoring

• Ensure compliance with all applicable laws, guidelines, and circulars issued by CBN, SEC, NGX, and other relevant agencies.
  


• Track and interpret changes in regulatory requirements and ensure internal policies are updated accordingly.
  


• Prepare and submit all mandatory regulatory returns and disclosures to the CBN, SEC, NGX, FRCN, NFIU, and other agencies on a timely and accurate basis.
  


• Maintain regulatory obligations register and ensure prompt action to meet submission deadlines.
  


• Act as the primary liaison with regulatory bodies and coordinate responses to inspections, queries, and routine engagements.
  


• Develop, implement, and review the Group’s compliance policies, procedures, and manuals.
  


• Ensure consistency of internal practices with current regulatory standards.
  


• Conduct periodic compliance risk assessments across departments and business lines.
  


• Review operational activities for potential compliance risks and recommend mitigating controls.
  


• Monitor and report on compliance with internal procedures and regulatory directives.
  


• Conduct regular compliance training programs for staff at all levels.
  


• Promote awareness of regulatory obligations and ethical conduct within the organization.
  


• Identify, investigate, and report suspicious transactions and potential breaches.
  


• File Suspicious Transaction Reports (STRs) and Currency Transaction Reports (CTRs) with the NFIU as required.
  


• Support management in resolving compliance incidents and implementing corrective actions.
  


• Monitor compliance with internal governance policies and regulatory codes.
  


• Support the Company Secretary and Board Committees in ensuring full regulatory compliance.
  

Key Requirements

Education & Certifications

 A bachelor’s degree in accounting, Finance, Law, Economics, or a related field.

 At least one of the following professional certifications is required:

o Institute of Chartered Accountants of Nigeria (ICAN)

o Chartered Institute of Stockbrokers (CIS)

o Chartered Institute of Bankers of Nigeria (CIBN)

o Compliance Institute of Nigeria (CIN)

o Certified Anti-Money Laundering Specialist (CAMS) (added advantage)

Experience

 Minimum of 5 years’ experience in regulatory compliance, internal control, risk management, or audit in a financial institution.

 Practical experience in dealing with regulators including CBN, SEC, and NGX.

Application

 Interested and qualified applicants should forward their CVs to [email protected] using COMP-OFF25 as subject