Head, Enterpise Risk, Compliance, and Legal

The Head, Enterprise Risk, Compliance & Legal will serve as the firm’s principal officer for all risk, regulatory, and legal matters. This executive role is responsible for developing, implementing, and monitoring a robust enterprise-wide risk management framework, ensuring full compliance with all SEC and other applicable regulations, and providing strategic legal counsel. The incumbent will be a SEC Sponsored Individual for Compliance and/or Risk Management and will act as a key advisor to the Executive Management and the Board of Directors.

Key Responsibilities

Enterprise Risk Management:

• Develop, implement, and maintain the firm’s Enterprise Risk Management (ERM) framework, policies, and risk appetite statement.
• Identify, assess, monitor, and report on all material risks (operational, market, credit, liquidity, strategic, and reputational) across the organization.
• Conduct stress testing and scenario analysis to ensure the firm’s resilience.
• Present comprehensive risk reports and dashboards to the COO, Management Committee, and the Board Risk Committee.

Regulatory Compliance:

• Act as the primary liaison with the Securities and Exchange Commission (SEC) Nigeria and other regulatory bodies.
• Ensure the firm’s continuous compliance with all SEC Rules, Investment and Securities Act, and other relevant laws and regulations.
• Develop, update, and enforce the firm’s compliance manual, policies, and procedures.
• Manage the Anti-Money Laundering (AML)/Combating the Financing of Terrorism (CFT) program, including client due diligence, monitoring, and reporting.
• Lead the preparation for and management of all regulatory examinations and audits.

Legal Advisory:

• Provide proactive legal counsel on a wide range of matters including fund structuring, investment agreements, client contracts, vendor agreements, and corporate governance.
• Review, draft, and negotiate legal documents to protect the firm’s interests.
• Manage relationships with external legal counsel and oversee all litigation matters.
• Advise on legal implications of new products, business initiatives, and regulatory changes.

Governance & Reporting:

• Ensure effective secretariat support for the Board Risk & Compliance Committee.
• Foster a strong culture of compliance and ethical conduct throughout the organization via training and communication.
• Investigate incidents of non-compliance and ensure appropriate corrective actions are implemented.