Compliance Officer / Chief Compliance Officer

Compliance Officer / Chief Compliance Officer

Location: Victoria Island, Lagos

Employment Type: Full-time

Reports To: Group Chief Compliance Officer / Managing Director

Functional Reporting: Board Audit & Risk Committee or Board Compliance Committee (where applicable

Job Purpose

• The Compliance Officer is responsible for establishing, implementing, monitoring, and maintaining an effective compliance management framework to ensure that the Company complies with all applicable laws, regulations, SEC Rules and Regulations, Investments and Securities Act (ISA), AML/CFT/CPF requirements, data protection requirements, and other regulatory obligations applicable to Fund/Portfolio Management Companies in Nigeria.
• The Compliance Officer serves as the primary liaison between the Company and regulators, particularly the Securities and Exchange Commission (SEC), Nigerian Financial Intelligence Unit (NFIU), and other relevant authorities. The role is responsible for fostering a culture of compliance and ethical conduct throughout the organization.

Key Responsibilities

Regulatory Compliance Management:

• Develop and maintain the Company's Compliance Manual, policies, and procedures.
• Monitor compliance with SEC Rules and Regulations, ISA, AML/CFT/CPF Regulations, and other applicable laws.
• Maintain a comprehensive regulatory obligations register/tracker.
• Conduct regulatory impact assessments and implement regulatory changes.
• Ensure timely implementation of new SEC circulars and directives.
• Advise Management and the Board on regulatory developments and compliance risks.
• Provide compliance guidance for new products, services, and investment structures.

AML/CFT/CPF Compliance:

Serve as the Company's AML/CFT/CPF Compliance Officer by:

• Developing and implementing AML/CFT/CPF policies.
• Ensuring effective Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD) processes.
• Monitoring politically exposed persons (PEPs), sanctions, and watchlists.
• Reviewing suspicious transactions and escalations.
• Ensuring timely filing of Suspicious Transaction Reports (STRs) and Currency Transaction Reports (CTRs) where required.
• Conducting Enterprise-Wide ML/TF/PF Risk Assessments.
• Coordinating independent AML testing and reviews.
• Monitoring beneficial ownership compliance.

Regulatory Reporting:

• Prepare and submit all regulatory filings to SEC. Coordinate submissions to the NFIU and other regulatory bodies.
• Ensure returns are accurate and filed within statutory deadlines.
• Maintain evidence of regulatory submissions and correspondence.
• Respond promptly to Requests for Information (RFIs), inspections, examinations, and regulatory reviews.

Compliance Monitoring & Testing:

• Develop and execute annual compliance monitoring plans.
• Conduct periodic compliance reviews and thematic examinations.
• Assess effectiveness of internal controls.
• Identify compliance breaches and recommend corrective actions.
• Monitor remediation of regulatory findings.
• Perform compliance testing across all functions.

Board and Management Reporting:

• Prepare periodic compliance reports for Management and the Board.
• Present emerging regulatory risks and compliance exposures.
• Escalate material breaches and regulatory issues.
• Report on compliance KPIs and KRIs.

Policies, Procedures and Governance:

• Develop, review, and update compliance-related policies.
• Ensure policies remain aligned with evolving SEC regulations.
• Coordinate policy implementation enterprise-wide.
• Maintain a policy review calendar.

Compliance Advisory:

• Review new business initiatives for regulatory implications.
• Provide compliance approval for products, marketing materials, client onboarding, outsourcing arrangements, and business partnerships.
• Participate in committees and governance forums.

Training and Awareness:

• Develop and implement annual compliance training programs.
• Conduct AML/CFT/CPF awareness training.
• Maintain compliance training records.
• Ensure all staff receive mandatory regulatory training.

Incident and Breach Management:

• Maintain a compliance breach register.
• Investigate compliance incidents.
• Coordinate corrective actions.
• Escalate significant breaches to Management and the Board.

Regulatory Relationship Management:

• Act as primary liaison with SEC Nigeria.
• Coordinate regulatory inspections and examinations.
• Maintain positive regulator relationships. Track closure of regulatory issues.

Qualifications

 Education:

• Bachelor's Degree in related discipline.
• Master's Degree is an added advantage.
• Professional Compliance and/or Risk Management certification(s) are an advantage.

Experience:

• 2–5 years relevant compliance, risk management, AML, internal control, legal, or regulatory experience.
• At least 1–3 years in a SEC-regulated Capital Market Operator environment.
• Experience with Fund/Portfolio Management operations preferred.

Knowledge Requirements

Strong knowledge of:

• Investments and Securities Act (ISA).
• SEC Rules and Regulations.
• SEC AML/CFT/CPF Regulations.
• NFIU AML/CFT requirements.
• Corporate Governance requirements.
• Data Protection laws.
• Capital Market operations.
• Collective Investment Schemes.
• Fund Management activities.
• Risk Management frameworks.

Behavioural:

• Integrity and Ethical Conduct.
• Independence.
• Sound Judgment.
• Analytical Thinking.
• Attention to Detail.
• Communication and Influencing Skills.
• Report Writing.
• Stakeholder Management.

Application Closing Date

9th October, 2026.

How to Apply

Interested and qualified candidates should send their Resume to: recruitment@theimpeccableskills.com using the  Job Title as the subject of the email.