Chief Compliance Officer at a Leading Investment Banking Company - Alan & Grant

Alan & Grant - Our client is a leading investment banking firm focused on providing financial advisory, capital raising and investment management services for private individuals, institutions, governments and government agencies.

They are recruiting to fill the position below:

Job Title: Chief Compliance Officer

Location: Lagos
Employment Type: Full Time

Responsibilities

• Ensure all filings are prepared and filed appropriately as at when due to prevent fines and sanctions.
• Monitoring and review of all payments and transactions emanating from the Company and to ensure source documents are provided.
• Resolving client complaints in line with Compliant Management Framework
• Creation of new policy documents in line with new regulatory directive.
• Review of existing Client records, proper documentation review of new clients and verification of legal documents.
• Client profiling and Classification of Customers, KYC, PEP and BVN Validation
• Periodic review personnel and internal expenses.
• Periodic review and update of all internal processes across all departments to ensure they are in line with the approved Standard operational Procedure.
• Preparation and presentation of Quarterly Risk & Compliance reports to the Board and Management.
• Authorization, review, approval, booking & liquidation of investments based on agreed rates and consent from Clients.
• Advising the Board and Management on Compliance & Risk matters and liaising with the Company Secretary on legal matters
• Training staff on AML/CFT, identifying suspicious transaction and communicating new developments within the market to all staff.
• The liaison officer with regulatory authorities (SEC, NFIU) on behalf of the company

Requirements

• First Degree in Accounting or Economics.
• Minimum of four (4) years in the Capital Market (preferably Fund Management &Investment Banking) and a SEC sponsored Individual.
• Other Compliance & AML Certifications will be an added advantage.

Application Closing Date
Not Specified.