Officer, Compliance, Stockbroker

Requirements

• 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.
• 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

Additional Information

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. 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).

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Company Intel

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