Role Summary:
The Legal and Compliance Officer will oversee regulatory compliance and legal advisory functions, ensuring adherence to capital market regulations and fund management laws. The candidate must be a SEC-Sponsored Individual with demonstrated experience in fund management compliance.
Key Responsibilities
Develop, implement, and maintain comprehensive compliance frameworks in line with the Securities and Exchange Commission and other regulatory requirements, ensuring all activities align with industry regulations, policies, and ethical standards.
Oversee the preparation, submission, and accuracy of all regulatory filings while ensuring timely submissions.
Monitor and manage compliance risks, developing strategic solutions to mitigate regulatory exposures.
Serve as the primary liaison for regulatory bodies, including facilitating the Securities and Exchange Commission inspections, audits, and maintaining cordial relationships with regulators such as the Financial Reporting Council, and others.
Provide legal advisory support to ensure compliance with fund management agreements, client mandates, and industry best practices.
Conduct internal compliance training to foster a culture of accountability, awareness, and adherence to statutory regulations.
Coordinate the drafting, periodic reviews, and updates of compliance-related policies such as the Compliance Manual, Anti-Money Laundering policies, and Complaint Management Policy.
Conduct regulatory watch, review proposed laws and regulations, and advise on their impact on the Group’s operations.
Facilitate the registration and maintenance of an adequate number of SEC Sponsored Individuals for each company in the Group.
Proactively address and resolve identified regulatory breaches or infractions to ensure zero penalties or infractions.
Plan and coordinate periodic compliance audits and training sessions as required by law.
Assist in drafting, reviewing, and vetting legal and commercial documentation, providing legal support across all units.
Prepare compliance reports and circulate updates on relevant regulatory changes to all units.
Ensure compliance with Know Your Customer (KYC) policies and manage customer complaints in adherence to SEC Rules on Complaint Management.
Act as a trusted advisor, offering business advisory services on day-to-day compliance matters and supporting management on strategic fund governance decisions.
Qualifications, Skills and Attributes
:
Must be a SEC-Sponsored Individual- (Compliance Officer)
7-9 years of proven experience in compliance, specifically within the fund management sector.
Strong knowledge of SEC rules, AML/CFT/CPF regulations, and Nigerian capital market laws.
Exceptional analytical and problem-solving skills with attention to detail.
Proactive and capable of working independently
Strong legal research and drafting skills, with exceptional attention to detail
Excellent written and verbal communication, people management, and relationship-building skills
Highly organised and able to manage multiple tasks efficiently
Ability to navigate and balance both legal and commercial considerations
High level of integrity and professionalism
Collaborative team player with a focus on achieving collective goals