Financial Regulatory Specialist

2 days ago


Abuja, FCT, Nigeria MUTE SWAN CAPITAL LIMITED Full time
About Mute Swan Capital Limited

Mute Swan Capital Limited is a dynamic investment banking firm dedicated to delivering innovative financial solutions while maintaining the highest standards of regulatory compliance.

Job Role: Compliance Officer
  • Monitor and ensure adherence to applicable SEC regulations and industry standards.
  • Develop, implement, and oversee compliance policies, procedures, and internal controls.
  • Conduct regular audits and assessments to identify potential compliance risks.
  • Provide training and guidance to staff on compliance-related matters.
  • Liaise with regulatory bodies, including the SEC, and ensure timely submission of required filings and reports.
  • Investigate and resolve compliance issues, reporting findings to senior management.
  • Stay updated on changes in regulations and advise management on necessary adjustments to policies.
Requirements:
  • Bachelor's degree in Finance, Law, Business Administration, or a related field.
  • Strong understanding of SEC rules and regulations, particularly in investment banking.
  • Minimum of 2 years experience in compliance or a related role within the financial services industry.
  • Excellent analytical, communication, and interpersonal skills.
  • Ability to manage multiple tasks and work effectively under pressure.
  • Proficiency in Microsoft Office tools and compliance software is an advantage.
What We Offer
  • A collaborative and professional work environment.
  • Opportunities for professional development and growth within the financial services industry.


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