Team Lead, Investigations

4 weeks ago

Lagos, Lagos, Nigeria Nigerian Exchange Group NGX Group Full time

Job Summary

We are looking for a confident, meticulous and result driven individual to lead the development and implementation of operational strategies for the Investigation Unit. He/She will be responsible for fostering and maintaining strategic relationships with Market participants for the purpose of informal enquiries related to investigations, complaints and adjudication process.

The Team Lead, Investigations will report to Head, Market Regulation.

Responsibilities

  • Collaborate with other business departments to manage NGX RegCo's disciplinary process for Trading License Holders and other relevant stakeholders, in line with Disciplinary Framework and Rules;
  • Establish, run and sustain approved disciplinary process of NGX Group Plc;
  • Provide advise as required by NGX RegCo's Board, Regulation and New Business Committee RNBC and any other relevant Board Committees for purposes of disciplinary proceedings;
  • Participate in recovery efforts against entities and persons indebted to all relevant stakeholders;
  • Maintenance and management of databases for cautions placed by NGX RegCo, and complaints received from stakeholders;
  • Oversee and coordinate the resolution of investor's complaints in line with the SEC Complaint Management Framework of the Nigerian Capital Market and Standard Operating Procedure of NGX Group Plc;
  • Develop appropriate dispute resolution policies, processes and strategies for resolving investors' complaints against Trading License Holders;
  • Ensure proper maintenance classify, assign complaint number, cross-reference, log and store records and verify accuracy of the complaint's records of NGX Group;
  • Prompt referrals of market abuse, fraud cases etc. to the Market Surveillance Unit in line with the internal referral process;
  • Coordinate the Alternative Dispute Resolution process All Parties Meeting.
  • Provide recommendations for the amicable resolution of disputes and risks assessment of complaints;
  • Individual shall be the Secretary of the Investigation Panel and review all cases referred to the panel;
  • Draft & review all notice of meetings and minutes of the Investigation Panel sitting;
  • Ensure clear and effective communication, of Investigation Panel decisions to disputing parties;
  • Liaise with Compliance and Enforcement unit to enforce regulatory sanctions against defaulting Trading License Holders.

Person Specification & Required Qualification s

  • HND/Bachelor's degree in in Finance, Economics, Statistics, Law or any related field;
  • Professional certifications such as ACCA, ACA, CFE CPA, CFA, CIS is an added advantage;
  • Minimum of 7 years' cognate experience in the financial services sector, investigation, and/ or commercial litigation. Forensic auditing experience is also an added advantage;
  • Strong litigation background particularly in administrative review actions and regulatory oversight matters;
  • In-depth understanding and practical knowledge of the NGX and SEC rules, Investments & Securities Act and Companies and Allied Matters Act CAMA;
  • Strong knowledge of investigative Methodologies, principles, and techniques;
  • Excellent numerical, analytical, time management and multi-tasking capabilities.

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