Legal Compliance Officer at Zrosk Investment Management

 Zrosk Investment Management is an asset management & Interdeal Brokerage firm.

We are recruiting to fill the position below:

Job Title: Legal Compliance Officer

Location: Lagos
Employment Type: Full Time

Key Responsibilities

• Ensure compliance with the Securities and Exchange Commission (SEC) regulations, Central Bank of Nigeria (CBN) guidelines, FMDQ and other applicable financial regulations.
• Maintain up-to-date knowledge of the regulatory environment and identify any potential compliance risks.
• Oversee the registration and reporting of client assets, ensuring all legal documentation complies with industry standards.
• Monitor changes in local and international financial regulations and adjust internal practices accordingly.
• Offer legal counsel on complex trading strategies, investment products, and market activities, including derivatives, securities, foreign exchange, and other financial instruments.
• Develop, implement, and advise on the interpretation and application of relevant laws, regulations, and policies to ensure compliance with legal and statutory requirements.
• Identify and mitigate legal, regulatory, and operational risks to protect the company from non-compliance penalties and reputational damage.
• Develop risk management frameworks and ensure continuous review of internal controls.
• Review and draft legal agreements for asset management services, including investment management agreements, client contracts, and partnerships.
• Prepare compliance reports for internal management and external regulators.
• Ensure timely rendition of monthly and quarterly regulatory reports.
• Maintain an accurate record-keeping system.
• Provide prompt support to the team for SEC AML/CFT/CPF audits.
• Contribute to improvements in the STRs and SARs filing process and reduce non-validation and rejection rates.
• Work with external legal counsel on specific legal matters when needed.

Requirements

• Education: A Law Degree (JD, LLB, or equivalent) from an accredited University. Additional certifications in financial services compliance (e.g., ACAMS, ICA etc).
• 5 - 7 years post-NYSC experience in Legal advisory and Compliance roles preferrable in a financial institution, Asset management, inter-dealer brokerage firm, or related firms.

Salary
N1,000,000 - N1,200,000 / Annum.

Application Closing Date
30th March, 2025.