Chief Compliance Officer

1 week ago


Lagos, Lagos, Nigeria Alan & Grant Full time
  • Our client is a leading investment banking firm focused on providing financial advisory, capital raising and investment management services for private individuals, institutions, governments and government agencies.

Responsibilities

  • Ensure all filings are prepared and filed appropriately as at when due to prevent fines and sanctions.
  • Monitoring and review of all payments and transactions emanating from the Company and to ensure source documents are provided.
  • Resolving client complaints in line with Compliant Management Framework
  • Creation of new policy documents in line with new regulatory directive.
  • Review of existing Client records, proper documentation review of new clients and verification of legal documents.
  • Client profiling and Classification of Customers, KYC, PEP and BVN Validation
  • Periodic review personnel and internal expenses.
  • Periodic review and update of all internal processes across all departments to ensure they are in line with the approved Standard operational Procedure.
  • Preparation and presentation of Quarterly Risk & Compliance reports to the Board and Management.
  • Authorization, review, approval, booking & liquidation of investments based on agreed rates and consent from Clients.
  • Advising the Board and Management on Compliance & Risk matters and liaising with the Company Secretary on legal matters
  • Training staff on AML/CFT, identifying suspicious transaction and communicating new developments within the market to all staff.
  • The liaison officer with regulatory authorities SEC, NFIU on behalf of the company

Requirements

  • First Degree in Accounting or Economics.
  • Minimum of four 4 years in the Capital Market preferably Fund Management &Investment Banking and a SEC sponsored Individual.
  • Other Compliance & AML Certifications will be an added advantage.


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