Compliance Officer

Job Overview

• The candidate must be registered as a Sponsored Individual by Securities and Exchange Commission (SEC) for carrying out Compliance functions of an Issuing House.
• The Compliance Officer, will ensure the company functions in a legal and ethical manner while meeting its business goals. They are responsible for developing compliance programmes, reviewing company policies, and advicing Management on possible risks.
• Compliance Officer must possess requisite knowledge of relevant capital market regulations and shall be responsible for monitoring and ensuring compliance with the Act, rules and regulations, notifications, guidelines, instructions issued by SEC or the Federal Government.
• Be responsible for educating other members of staff on compliance related matters.
• Must annually attend two training organized by the institutions recognized by SEC

Responsibilities

• To provide compliance support primarily to the Capital Markets arm of the business
• To work with the rest of the compliance team to ensure coordination and strategic implementation of compliance best practices for the respective departments
• To implement appropriate compliance infrastructure and controls
• Perform risk assessments and provide efficient and practical advice to the capital markets team and business as a whole
• To provide compliance support for transactions and ensure transactions are conducted in a compliant manner
• Pro-active risk identification of regulatory changes or business developments
• Regulatory risk management
• Provide advice on new product and new business structures
• Supervision of training requirements, monitoring, marketing activities and licensing

Qualifications and Skills

• A first Degree in a relevant field
• A minimum of 3-5 years post-qualification experience in Capital Markets, Corporate Finance, Research and Asset Management
• Excellent regulatory management and relationship skills
• Up-to-date knowledge of rules and regulations on capital markets, corporate finance and research
• Excellent communication skills
• Strong analytical and organizational skills
• Leadership skills and management ability
• Must be of good character and integrity