Regulatory Compliance Specialist

4 days ago


Abuja, FCT, Nigeria MUTE SWAN CAPITAL LIMITED Full time
Job Role:
Mute Swan Capital Limited, a leading investment banking firm, is seeking a seasoned Compliance Officer to ensure adherence to SEC regulations and industry standards. The ideal candidate will possess a strong understanding of regulatory frameworks and be able to develop, implement, and oversee compliance policies and procedures.

Key Responsibilities:
  1. Monitor and report on compliance risks and issues.
  2. Develop and maintain compliance policies and procedures.
  3. Conduct regular audits and assessments to identify potential compliance risks.
  4. Liaise with regulatory bodies, including the SEC, to ensure timely submission of required filings and reports.

Requirements:
  • Bachelor's degree in Finance, Law, Business Administration, or a related field.
  • Strong understanding of SEC rules and regulations.
  • Minimum of 2 years experience in compliance or a related role within the financial services industry.
  • Excellent analytical, communication, and interpersonal skills.


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