Officer, Compliance, Stockbroker
HybridLagos, Lagos, Nigeria
Job Summary
Oversee the Compliance function by reviewing compliance issues, managing regulatory change, and ensuring employees adhere to governing rules and company policies. Advise management on regulatory breaches while coordinating periodic reviews of policies and circulars impacting business units. Track compliance levels for Personal Trading, Other Business Interest declarations, and Gift and Entertainment programs. Implement defined KYC processes for account openings and sustain risk management practices through stakeholder engagement. Provide assurance support to achieve 100% compliance status. Requires SEC sponsorship and a Bachelor's degree in law, finance, or related disciplines.
Required Qualifications
- Must be SEC-sponsored
- Bachelor's degree in law, Finance, Business Administration, Economics or a related discipline from a reputable institution
- 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
Desired Qualifications
- Relevant professional qualification can be an added advantage (e.g. DCP, ICAN, ACCA, CAMS)
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