Jobs

Reports To: Chief Executive Officer / Board of Directors
Industry: Securities Trading/Asset Management
Role Overview

The Compliance Officer will be responsible for ensuring that the company’s operations, investment products, and advisory services comply with applicable laws, regulations, and internal policies.
This includes oversight of regulatory filings with the Securities and Exchange Commission (SEC Nigeria), monitoring adherence to investor protection guidelines, and promoting a strong culture of compliance across the organization.
Key Responsibilities
Regulatory Compliance:

Ensure the company complies with all applicable laws, rules, and regulations issued by SEC Nigeria, NAICOM (if insurance-linked products), NSE, and other regulatory bodies.
Develop, implement, and regularly update the compliance framework, manuals, and policies to reflect current regulations and industry best practices.
Maintain awareness of new and pending regulatory developments that may impact the company’s operations.
SEC Filings Regulatory Reporting:

Prepare, review, and submit statutory filings with SEC Nigeria, including:
Periodic returns (monthly, quarterly, and annual filings).
Registration, renewal, and update filings for funds, schemes, and investment products.
Compliance certificates and reports in line with SEC rules and regulations.
Reporting of significant shareholding changes, corporate actions, or other mandated disclosures.
Maintain proper documentation and record-keeping for all filings and correspondence with SEC Nigeria.
Liaise with SEC officials and ensure prompt responses to regulatory inquiries, inspections, and audits.
Internal Monitoring s Controls:

Conduct periodic compliance risk assessments and internal audits to identify gaps and recommend corrective actions.
Oversee Know-Your-Customer (KYC) and Anti-Money Laundering (AML) processes, ensuring compliance with CBN and SEC AML/CFT guidelines.
Monitor investment portfolios and trading activities to detect and prevent market abuse, insider trading, and conflicts of interest.
Advisory s Training:

Advise management and staff on compliance requirements related to product development, marketing, and client engagement.
Deliver training programs to employees on regulatory obligations, ethical conduct, and internal compliance policies.
Provide ongoing guidance to investment, operations, and client service teams to ensure compliance integration.
Reporting Governance:

Submit periodic compliance reports to the CEO and Board of Directors.
Act as the primary liaison with regulators, auditors, and external counsel on compliance matters.
Promote a culture of transparency, integrity, and ethical conduct within the organization.
Requirements

Bachelor’s Degree in law, Finance, Accounting, Economics, or related discipline (master’s or professional certification is an advantage).
Minimum of 5 years’ experience in compliance, legal, or regulatory affairs within an asset management, investment banking, or financial services firm.
Strong knowledge of SEC Nigeria rules, NSE regulations, and other relevant financial market guidelines.
Professional qualifications such as ICSAN, ICAN, CFA, or AML certification are highly desirable.
Excellent analytical, communication, and interpersonal skills.
High ethical standards, attention to detail, and ability to handle confidential information
Core Competencies:

Strong regulatory knowledge and interpretation skills.
Ability to anticipate compliance risks and recommend preventive solutions.
Proactive engagement with regulators and stakeholders.
Integrity, diligence, and commitment to professional excellence.
Salary
N400,000 – N500,000 / month
Application Closing Date
30th September, 2025.
How to Apply
Interested and qualified candidates should send their CVs to: careers@elvaridah.com using the job title as the subject of the mail.