SEC Governance Specialist

5 hours ago


Lagos, Lagos, Nigeria HRD solutions Full time

Overview:

HRD Solutions is seeking an experienced SEC Compliance Officer to join our team. As a key member of our compliance function, you will play a critical role in ensuring the company's adherence to SEC regulations and guidelines.

Responsibilities:

  1. Develop and implement comprehensive compliance policies and procedures aligned with SEC regulations and industry best practices.
  2. Conduct regular risk assessments and audits to identify potential compliance risks and mitigate their impact.
  3. Collaborate with internal stakeholders to develop and maintain effective internal control systems and risk management frameworks.
  4. Provide training and guidance to staff on SEC regulations and compliance procedures.
  5. Stay up-to-date with changes in SEC regulations and guidelines, and communicate updates to relevant stakeholders.
  6. Investigate and address any compliance breaches or issues that arise, working closely with senior management and external regulatory bodies as needed.

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.


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