Compliance Officer

In a highly regulated investment environment, trust is everything.

We are seeking an experienced Compliance Officer to safeguard the integrity of our operations, investment products, and client relationships. This role sits at the heart of the organization—working closely with leadership to ensure full regulatory compliance, strong governance, and a culture built on transparency and ethical conduct.

If you are confident navigating SEC Nigeria regulations, proactive in managing risk, and comfortable engaging regulators at a senior level, this role offers both responsibility and influence.

What You’ll DoRegulatory Compliance & Oversight

• Ensure full compliance with SEC Nigeria regulations and other applicable regulatory bodies (including NSE and NAICOM, where relevant).
• Develop, implement, and continuously update compliance frameworks, manuals, and internal policies.
• Track regulatory developments and assess their impact on the company’s operations and products.

SEC Filings & Regulatory Reporting

• Prepare, review, and submit all statutory filings to SEC Nigeria, including monthly, quarterly, and annual returns.
• Manage registration, renewals, and updates for funds, schemes, and investment products.
• Maintain accurate records of all regulatory filings and correspondence.
• Serve as the primary point of contact during SEC inspections, audits, and inquiries.

Internal Controls, Risk & AML

• Conduct periodic compliance risk assessments and internal audits, recommending corrective actions where needed.
• Oversee KYC and AML/CFT processes in line with SEC and CBN guidelines.
• Monitor trading and investment activities to prevent insider trading, conflicts of interest, and market abuse.

Advisory, Training & Governance

• Advise management and teams on compliance implications for products, marketing, and client engagement.
• Deliver regular compliance and ethics training to staff.
• Prepare and present compliance reports to the CEO and Board.
• Promote a strong culture of integrity, accountability, and regulatory discipline across the organization.