Regulatory Compliance Specialist

2 days ago


Abuja, FCT, Nigeria MUTE SWAN CAPITAL LIMITED Full time

About Mute Swan Capital Limited

Mute Swan Capital Limited is a pioneering investment banking firm dedicated to providing innovative financial solutions while maintaining the highest standards of regulatory compliance. We are seeking a detail-oriented and knowledgeable Regulatory Compliance Specialist to join our team and ensure adherence to SEC rules and other relevant regulatory frameworks.

Key Responsibilities:
  • Ensure compliance with all 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

A strong understanding of SEC rules and regulations, particularly in investment banking is essential for this role. The ideal candidate will have at least 2 years of experience in compliance or a related role within the financial services industry. Excellent analytical, communication, and interpersonal skills are also required. Ability to manage multiple tasks and work effectively under pressure is highly desirable. 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
  • Competitive remuneration package

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