SEC Compliance Officer

2 weeks ago


Lagos, Nigeria HRD solutions Full time

§ Monitor and ensure adherence to SEC regulations, guidelines, and directives.

§ Maintain up-to-date knowledge of SEC rules and regulations.

§ Develop and implement compliance policies and procedures.

§ Identify, assess, and mitigate compliance risks.

§ Develop and maintain risk management frameworks.

§ Conduct regular risk assessments.

§ Prepare and submit all regulatory reports

§ Ensure timely submission of reports.

§ Provide compliance training to staff.

§ Conduct workshops and seminars.

§ Develop, implement, and maintain internal control systems.

§ Conduct regular audits and reviews.

§ Investigate compliance breaches

§ Maintain compliance records.

§ Liaise with regulatory bodies.

§ Participate in industry forums.



Requirements

§ Minimum of 3 years of experience in an Investment house in an Asset Management Firm

§ Minimum of Bachelor's Degree in Finance, Accounting, Economics, Statistics or another closely related field (ICAN,ACCA,CFA is an added advantage)

§ Knowledge Capital Market products

§ Knowledge AML/CFT Frame Work and Implementation

§ Experienced with returns rendition and timeline

§ Ability to analyze large amounts of data and to compile detailed reports

§ High attention to detail and excellent analytical skills

§ Ability to work in a fast-paced, team-based environment with minimal supervision.

§ Proficiency in Microsoft Office (Excel, Word, PowerPoint) is essential

§ Must be SEC sponsored individual


Salary Range 350 - 500k



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