Compliance Officer (SEC – Sponsored) at StreSERT Services Limited – Apply Now

JOB SUMMARY

The ideal candidate must be registered as a Sponsored Individual by the Securities and Exchange Commission (SEC). He/She will be responsible for monitoring and ensuring compliance with the rules and regulations, notifications, guidelines, and instructions issued by SEC or the Federal Government.

KEY RESPONSIBILITIES

• Keep the Company abreast of all regulatory requirements, developments, and industry best practices, including corporate governance guidelines.
• Assess current procedures and implement necessary changes where necessary or required.
• Develop and implement annual Compliance plans for the Company.
• Liaise with Industry Regulators and other agencies and respond to regulatory inquiries findings and deficiencies.
• Carry out Compliance reviews and Compliance monitoring activities.
• Monitor the resolution of clients’ complaints.
• Provide assistance to respective units for the purpose of compliance with applicable statutory, regulatory and supervisory requirements.
• Ensure total compliance to all regulatory requirements to prevent fines/censure from Regulatory authorities.

REQUIRED SKILLS /COMPETENCIES

• Minimum of 2 years relevant experience in the industry
• B.Sc. in Accounting/Business Administration, Economics, and any other relevant qualification.
• Experience in Compliance and control units in Portfolio and Funds Management will be an added advantage.
• Ability to provide technical guidance and direction in control and compliance as it relates to financial services, especially Portfolio and Fund Management
• General knowledge and understanding of the Nigerian Capital Market.
• General familiarity with laws and regulations governing financial institutions.
• In-depth knowledge of the legislations, rules, and regulations that relate to financial services, especially in the Asset Management industry.
• Technical proficiency in the development and implementation of compliance programs.
• Ability to engage with regulators and law enforcement agents.
• Effective communication, organizational, and time management skills.
• Proficiency in Microsoft Office applications.
• Knowledge about economic and global trends in compliance.