Requirements

• Bachelor’s degree in law, Finance, Economics, or related field
  
• Relevant professional certifications (preferred):
  • SEC-sponsored certifications
    
  • Compliance or AML certifications
    
• 4-7 years relevant experience in:
  

1. Asset management, securities trading, or capital market
   
2. Compliance, risk, or audit function.
   
3. Strong understanding of SEC regulations and capital market operations
   

• Monitor and interpret regulations, circulars, and guidelines issued by the Securities and Exchange Commission Nigeria and other relevant authorities.
  
• Provide timely compliance advisory to business units (portfolio management, trading desk, operations).
  
• Ensure all products, services, and transactions comply with regulatory requirements.
  
• Develop and execute a risk-based Compliance Monitoring Programme (CMP).
  

• Conduct periodic reviews of:
  

  o Portfolio management activities
  

  o Trade execution and settlement processes
  

  o Client onboarding and account management
  

• Identify control gaps and recommend corrective actions.
  
• Implement AML/CFT frameworks in line with regulatory expectations and coordinate with the Nigerian Financial Intelligence Unit where required.
  

• Oversee:
  

  o Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD)
  

  o Transaction monitoring for suspicious activities
  

  o Filing of Suspicious Transaction Reports (STRs)
  

• Ensure compliance with KYC requirements for investors and counterparts
  
• Prepare and submit statutory returns and regulatory filings to the Securities and Exchange Commission Nigeria within stipulated timelines.
  
• Act as the primary liaison with regulators during inspections, audits, and inquiries.