New member? Register

Administrative Jobs in Nigeria

Advertising Jobs Nigeria

Accounting Jobs in Nigeria

Auditing Jobs Nigeria

Arts Jobs in Nigeria

Agriculture Jobs in Nigeria

Architecture Jobs in Nigeria

Aviation Jobs in Nigeria

Automobile Jobs in Nigeria

Banking Jobs in Nigeria

Classified Jobs Nigeria

Computer & InfoTech Jobs

Customer Service Jobs

Civil Engineering Jobs

Cook Jobs

Database Jobs in Nigeria

Driving Jobs in Nigeria

Education Jobs for Nigerians

Estate Management Jobs

Electrical/Electronics Jobs

Engineering Jobs in Nigeria

ERP & SAP Jobs in Nigeria

Facility Mgt Jobs in Nigeria

Finance Jobs in Nigeria

Front Desk Jobs in Nigeria

Geology & Drilling Jobs

Government Public Service-

Hardware Jobs in Nigeria

Hospitality Jobs in Nigeria

Hotel Jobs

HR Jobs in Nigeria

Industrial Attachment (Internship)

Insurance Jobs in Nigeria

Internet & Work aHome Jobs

Java Jobs in Nigeria

Law Enforcement Jobs

Lecturing Jobs in Nigeria

Legal Jobs in Nigeria

Linux & Unix Jobs Nigeria

Marketing & Sales Jobs

Mass Communication Jobs

Maritime & Shipping Jobs

Medical & Healthcare Jobs

Military Jobs in Nigeria

Ministry & Parastatal Jobs

Computer Networking Jobs

NGO Jobs in Nigeria

Oil & Gas Jobs in Nigeria

Oracle Jobs in Nigeria

.Net Technology Jobs Nigeria

Personal Assistant Jobs

PHP & MySQL Jobs in Nigeria

Physician & Med Practioner

Public Sector/Service Jobs

Public Relation Jobs

Programming Jobs in Nigeria

Pri/Sec Sch Teaching Jobs

Real Estate Jobs in Nigeria

Research Jobs in Nigeria

Safety & Health Jobs

Secretarial Jobs in Nigeria

Security Jobs in Nigeria

Sales Jobs

Shipping & Maritime Jobs

Student Jobs in Nigeria

Mass Communication Jobs

Software Developer Jobs

System Admin Jobs in Nigeria

Teaching Jobs in Nigeria

Telecommunication Jobs

Unskilled Jobs Nigeria

Volunteer Jobs Nigeria

Web Developer Jobs Nigeria

Web Designer Jobs in Nigeria

Get Latest Nigerian Job Alert!
Enter your email below.

Delivered by FeedBurner

          Popular Jobs
One Acre Fund Job Recruitment (14 Positions)

Willers Solutions Limited Job Vacancies (22 Positions)

ENDS Today: Ikeja Electricity Distribution Company (IKEDC) Young Engineers Program 2020

Proserv Security Job Recruitment (3 Positions)

Strugz Job Graduate & Exp. Job Recruitment (8 Positions)

Food Concepts Plc Management Graduate Trainee & Exp. Job Recruitment (5 Positions)

PPC Limited Job Recruitment (3 Positions)

Rubber Estates Nigeria Limited (RENL) Job Recruitment (3 Positions)

Action Against Hunger Nigeria Job Recruitment (7 Positions) Job Recruitment (4 Positions)

Baobab Microfinance Bank Job Recruitment (6 Positions)

Kings University Academics Job Recruitment (15 Positions)

Shell Petroleum Development Company (SPDC) Job Recruitment (3 Positions)

Enugu State University of Science and Technology (ESUT) Job Recruitment (3 Positions)

Byteworks Technology Solutions Limited Job Recruitment (8 Positions)

Corporate Headhunters Limited Job Recruitment (4 Positions)

Ibadan Electricity Distribution Company (IBEDC) Plc Job Recruitment (3 Positions)

Asharami Energy Limited Graduate Upstream Trainee Program 2020

Etihad Airways Recruitment for Groups Sales Agent

Kimberly-Clark Job Recruitment (9 Positions)

BBC World Service Recruitment for Pidgin Editor

PricewaterhouseCooper (PwC) Graduate & Exp. Job Recruitment (9 Positions)

Smart Partners Consulting Limited Job Recruitment (13 Positions)

Jafas & Sons Motor Enterprises Nigeria Limited Job Vacancies (4 Positions)

Prisdav Consulting Job Recruitment (6 Positions)

First Excelsia Professional Services Limited Job Recruitment (5 Positions)

Ashton & Dave Travels and Holidays Limited Job Recruitment (3 Positions)

RTI International Job Recruitment (5 Positions)

International Rescue Committee (IRC) Job Recruitment (3 Positions)

Mecer Consulting Limited Job Recruitment (9 Positions)

Nera Hotels Limited Job Recruitment (3 Positions)

First Bank of Nigeria Limited Graduate & Exp. Job Recruitment (23 Positions)

Erisco Foods Limited Job Recruitment (5 Positions)

CWAY Group Job Recruitment (3 Positions)

Lorache Group Job Recruitment (12 Positions)

Reputable Top-notch Law Firm Job Recruitment (4 Positions)

UKEAS Nigeria Job Recruitment (4 Positions)

Twim Art Institute (TAI) Job Recruitment (3 Positions)

XGO Technology Limited Job Recruitment (3 Positions)

Veepee Industries Limited Job Recruitment (3 Positions)

Owens and Xley Consults Job Recruitment (6 Positions)

Pruvia Integrated Limited Job Recruitment (15 Positions)

Ascentech Services Limited Job Recruitment (23 Positions)

Avant Halogen Job Vacancies (4 Positions)

Okazi Finance Limited Job Recruitment (3 Positions)

NOVO Car Rentals Limited Job Recruitment (9 Positions)

Bolin Bakeries and Catering Company Job Recruitment (3 Positions)

Svelte Global Company Entry-Level & Exp. Job Recruitment (4 Positions)

Federal Medical Centre, Owerri Graduate Internship Programmes (8 Positions)

Multinational Conglomerate Job Vacancies (5 Positions)

Compliance Manager, Monitoring & Enforcement at the Nigerian Stock Exchange (NSE)

Posted on Fri 03rd May, 2019 - --- (0 comments)

The Nigerian Stock Exchange, services the largest economy in Africa, and is championing the development of Africa's financial markets. The Exchange offers listing and trading services, licensing services, market data solutions, ancillary technology services, and more. It is an open, professional and vibrant exchange, connecting Nigeria, Africa and the world.

We are recruiting to fill the position below:

Job Title: Compliance Manager, Monitoring & Enforcement

Grade: Officer - Assistant Manager
Department: Broker Dealer Regulation Department
Report to: Team Lead, Monitoring and Enforcement
Estimated Date of Resumption: Monday, July 1, 2019

Job Summary
  • The Monitoring & Enforcement Unit is involved with monitoring the activities of Dealing Members to ensure they operate in compliance with the Rules and Regulations of The Exchange and the Securities and Exchange Commission.
  • The Monitoring & Enforcement team is also has the responsibility of reviewing financial and regulatory reports of Dealing Members to assess their financial state of affairs on and on-going basis and enforce the rules when breaches occur.
Key Responsibilities
  • Monitoring the compliance of Dealing Member Firms with the rules and regulations of The Exchange, The Securities & Exchange Commission (SEC), and The Investment and Securities Act (ISA 2007)
  • Recommend appropriate enforcement actions against defaulting firms in line with rules and regulations governing Dealing Members of The Exchange
  • Liaise with relevant units and departments in the course of compliance and enforcement related activities
  • Conduct risk based examinations to assess and evaluate the internal control functions and processes of Dealing Member Firms and propose methods of improvement
  • Review and analyze periodic renditions from Dealing Members of The Exchange and ensure that such renditions are prepared in line with relevant accounting standards and the rules and regulations governing Dealing Members of The Exchange
  • Monitor Dealing Members financial performance, capital adequacy and liquidity management
  • Assist in the development and implementation of new rules, policies and guidelines
  • Prepare reports on the trends and composition of foreign and domestic transactions carried out by stockbroking firms and custodians
  • Prepare market circulars and bulletins for publication
  • Preparation of periodic reports for both internal and external stakeholders
  • Maintain a database for tracking compliance history and deadlines granted to firms
  • Send frequent notifications and reminders to defaulting firms ahead of deadlines
  • Monitor the status of Dealing Member Firms
  • Prepare and update the Broker TraX reports on a weekly basis
  • Preparation of periodic compliance/disciplinary reports for both internal and external stakeholders
  • Perform other tasks as assigned by the Unit Head or Head of the Department
  • Develop innovative solutions to enhance the efficiency of the department
Qualification and Experience
  • A minimum of five (5) years compliance or forensic auditing experience obtained from a financial regulator, operator or a reputable audit firm
  • Minimum of a Bachelor's Degree in Accounting, Finance, Economics, Statistics, or related fields
  • MBA or Professional qualifications in Finance such as ACA, ACCA, CPA etc
  • Experience in any of the Big 4 Audit firms or as a CBN certified Bank Examiner is an added advantage
Functional Competencies:
  • Data Management
  • Project Management
  • Research and Analysis
  • Risk Management
Behavioural Competencies:
  • Attention to Detail
  • Collaboration
  • Inter-Personal Relations
  • Problem Solving
  • Result Oriented
  • Team Player
Application Closing Date
16th May, 2019.

How to Apply
Interested and qualified candidates should:
Click here to apply online


Comments (0)

Post a Comment
Name: *
Email: *
Comment: *