Head, Legal and Compliance

2 days ago


Lagos, Lagos, Nigeria DynamicPlus Advisory Full time

Job Summary: Develop and implement a comprehensive Compliance Management Program to ensure the company's adherence to laws, regulations, and ethical standards.

The ideal candidate will be responsible for:

  • Developing and implementing compliance-related policies, procedures, and frameworks
  • Coordinating group-wide compliance and regulatory risk management efforts
  • Managing the company's compliance program and maintaining a "no surprises" culture
  • Providing legal guidance on contracts, regulatory compliance, litigation, and corporate governance
  • Representing the company in legal proceedings and conducting legal research
  • Developing and implementing legal procedures and policies to ensure compliance with applicable laws
  • Managing a team of Compliance & Risk Analysts and providing coaching and development opportunities

Key Responsibilities:

  • Develop and implement an Enterprise Risk Management Framework
  • Ensure the Board of Directors, Management, and employees are in compliance with laws, regulations, and ethical standards
  • Develop and implement an Annual Compliance Plan
  • Lead compliance reviews and monitoring activities
  • Provide assistance to line managers on compliance matters
  • Monitor the resolution of clients' complaints
  • Liaise with industry regulators and respond to regulatory enquiries

Anti-Money Laundering/Combating the Financing of Terrorism (AML/CFT) Responsibilities:

  • Implement a Group-wide AML/CFT Compliance Program
  • Ensure the AML/CFT Program is reactive to changes in regulation and business strategy
  • Maintain effective Customer Due Diligence/Know Your Customer (KYC) processes
  • Receive and evaluate suspicious transaction/activity reports
  • File suspicious transaction/activity reports with relevant law enforcement agencies

Risk Management & Control Responsibilities:

  • Ensure the Risk and Control Frameworks of the Group are operating effectively
  • Compile, assess, and report risk information to the CEO and the Board
  • Develop, manage, and refine qualitative and quantitative risk reporting
  • Identify risk ownership gaps and overlap requiring resolution

Requirements:

  • A legal practitioner with a minimum of five years post-call experience
  • A minimum educational qualification of a university degree from a recognized tertiary institution
  • A minimum of four years' experience in the capital markets with proven understanding of the operations of the capital markets and relevant regulatory requirements
  • Satisfactory completion of SEC Mandatory Compliance Officers' training program

Other Skills and Abilities:

  • Sound knowledge and prerequisite experience of the Capital Market Industry
  • Brilliant oral and written communication skills
  • Highly analytical with strong attention to detail
  • Strong leadership ability, integrity, and sound judgment
  • Excellent Communication Skills
  • Good leadership and team-building skills
  • Legal intelligence and strategic mindset
  • Outstanding problem-solving skills
  • Proven experience in relationship management
  • Negotiation and persuasion skills
  • Excellent interpersonal skills with good communication and analytical skills
  • Proficient use of Microsoft Office Word, Excel, PowerPoint, and Google Suites


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