Job Summary:

We are seeking an experienced Compliance Officer for our client in the Capital Markets sector. The ideal candidate will ensure full adherence to SEC, NSE, and CBN regulations, monitor compliance risks, and implement internal control frameworks that support sound corporate governance and ethical business practices.

Key Responsibilities:

• Ensure the company’s operations comply with SEC rules, CBN guidelines, and other regulatory requirements.
• Develop and maintain compliance policies, manuals, and internal control frameworks.
• Conduct periodic compliance reviews, audits, and risk assessments.
• Prepare and submit all regulatory filings and returns to SEC and other authorities.
• Provide compliance advisory support to management and other departments.
• Monitor trading and investment activities to ensure compliance with approved limits and guidelines.
• Organize compliance trainings for staff and update them on regulatory changes.
• Liaise with regulatory bodies (SEC, NSE, CBN) and respond to queries or examinations.

Requirements:

• Bachelor’s degree in Finance, Law, Accounting, or related field.
• Minimum of  3 to 6years’ experience in compliance, preferably within capital markets or asset management.
• Strong knowledge of capital market regulations, investment operations, and risk management.
• Excellent communication, analytical, and reporting skills.