Location: Lagos
Employment Type: Full-time
Description
- The Compliance Officer is responsible for developing, implementing, and maintaining a robust compliance framework that ensures the organization's adherence to all applicable laws, regulations, regulatory guidelines, internal policies, and ethical standards governing the asset management industry in Nigeria.
- The role serves as the primary liaison with regulatory authorities, particularly the Securities and Exchange Commission (SEC), ensuring that the company's operations, investment products, and business activities remain fully compliant with regulatory requirements and industry best practices.
Key Responsibilities
- Develop and maintain the organization's compliance framework in line with SEC Rules, the Investments and Securities Act (ISA), and other applicable regulations.
- Monitor regulatory developments and advise management on emerging compliance requirements and their business implications.
- Prepare and submit statutory and regulatory returns, including SEC reports, AML/CFT reports, corporate governance reports, and other mandatory filings.
- Serve as the primary liaison with the Securities and Exchange Commission (SEC) and other regulatory authorities during inspections, audits, and regulatory engagements.
- Conduct compliance monitoring and periodic reviews to identify regulatory gaps and recommend corrective actions.
- Ensure compliance with AML/CFT, KYC, CDD, and EDD requirements, including suspicious transaction monitoring and regulatory reporting.
- Develop, review, and implement compliance policies, procedures, manuals, and internal controls.
- Monitor investment activities and portfolios to ensure compliance with regulatory requirements, investment mandates, and internal policies.
- Review investment products, client agreements, trust deeds, prospectuses, and related documentation before launch to ensure regulatory compliance.
- Oversee compliance with corporate governance requirements, including conflicts of interest, insider trading controls, and related-party transactions.
- Maintain the Compliance Risk Register and conduct periodic compliance risk assessments.
- Investigate compliance breaches and recommend preventive and corrective measures.
- Design and facilitate compliance, ethics, AML, and regulatory awareness training for employees.
- Prepare compliance reports and provide regular updates to senior management and the Board.
- Promote a strong culture of integrity, ethics, accountability, and regulatory compliance across the organization.
Requirements
- Interested candidates should possess an HND / Bachelor’s Degree
- 7-8 years of relevant experience working within asset management or finance company.
Salary
N700,000 - N800,000 monthly.
Application Closing Date
19th September, 2026.
Interested and qualified candidates should send their CV to: tophireafrica@gmail.com using "Compliance Manager" as the subject of the mail.
Note: Only shortlisted candidates will be contacted.