Compliance Officer

3 days ago

Lagos, Lagos, Nigeria Parthian Partners Limited Full time ₦1,500,000 - ₦6,000,000 per year

Render daily, weekly, monthly, quarterly, and annual returns (as applicable) to
S.E.C., NGX, NASD, FMDQ and NFIU adequately and promptly
Draw up annual AML/CFT training plan and facilitate AML/CFT training
Timely and effective dissemination of regulatory updates within the organization
while providing necessary impacts.
Assist the CEO and business units in implementing existing, new and/or amended regulatory requirements.
Review and authorize clients onboarding forms to ensure KYC adequacy
Conduct of Customer Due Diligence on KYC of Corporate, Estate and Individual accounts
Authorize clients Inter Member Transfer In & Out.
Carry out compliance audit on the various unit of the organization in line with
regulatory standards
Review and update compliance policy and procedure
Process the registration of sponsored individual and approved persons
Notify the regulatory authorities of changes within the firm
Liaise with the industry regulators and respond to their enquiries while ensuring
good and quality relationship.
Promote compliance culture company wide and guide other units on compliance
related matters
Monitor the resolution of clients' complaint
Review daily trades for correctness
Review payments for correctness

Bachelor's degree in Finance, Business, Economics, Law and/or

related field.
A Chartered Institute of Stockbrokers certification is an added
advantage
A minimum of 4 years work experience in the Capital Market as a
Compliance Officer or Broker or Operations Officer.
Must be a SEC sponsored individual.
Knowledge and understanding of Nigerian Capital Markets.
Knowledge of legal requirements and controls (e.g .Anti-Money Laundering, or AML)
Familiarity with industry practices and professional standards


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