Compliance Expert

8 hours ago


Lagos, Lagos, Nigeria HRD solutions Full time

Job Summary

HRD Solutions is seeking a highly skilled SEC Compliance Officer to join our team. In this role, you will be responsible for ensuring adherence to SEC regulations, guidelines, and directives.

About the Role

We are looking for a seasoned professional with minimum 3 years of experience in an Investment house in an Asset Management Firm. Your expertise in SEC regulations and compliance risk management will be essential in developing and implementing effective policies and procedures.

Key Responsibilities

  • 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 Framework 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.

What We Offer

  • Estimated Salary: $350k - $500k per annum.
  • A competitive salary package.
  • Ongoing training and professional development opportunities.
  • The chance to work with a dynamic and growing company.

About HRD Solutions

At HRD Solutions, we are committed to delivering exceptional results and exceeding client expectations. Our team of experts provides comprehensive solutions that meet the unique needs of each organization.


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