Position Title: Compliance Officer.
Compliance Officer job opportunity is available at Norrenberger Financial Group for individuals who possess relevant qualifications.
DUTIES AND RESPONSIBILITIES:-
- The compliance officer will be responsible for reviewing all relevant statutory laws and regulations applicable to the Company and ensuring compliance with these.
- In addition, he/she will undertake continual compliance risk assessment of company practices together with the development of internal policies and procedures and serve as liaison for all regulatory bodies.
- Develop and Review Compliance Manual to meet regulators rules and standards.
- Conduct of Customer Due Diligence on KYC of Corporate, Estate and Individual Accounts
- Submission of Statutory Returns to regulatory bodies
- Keep the business abreast of any regulatory developments and industry best practices and assess the impact on current procedures, as well as ensure that necessary changes are implemented
- Develop and implement an Annual Compliance plan.
- Liaise with Industry Regulators and other agencies and respond to regulatory inquiries, findings and deficiencies.
- Carry out Compliance reviews and Compliance monitoring activities.
- Monitor the resolution of Clients’ complaints.
- Aid respective units for purpose of compliance with applicable statutory, regulatory and supervisory requirements.
- Participate in Business Process Re-engineering exercises to ensure controls therein
- Ensure no fine/censure from Regulatory authorities.
- Oversee Improvement in the compliance culture, entity-wide
DESIRED EXPERIENCE & QUALIFICATION:-
- B.Sc in Accounting / Business Administration or any other discipline.
- Minimum of 5 years relevant experience in the Capital Market.
- Professional Qualifications ICAN, ACCA, CIS
- General knowledge and understanding of the Nigerian Capital market.
- General familiarity with laws and regulations governing financial institutions.
- In-depth knowledge of the legislation, rules, and regulations which relate to financial services, especially the Nigerian Capital Market.
- Technical proficiency in the development and implementation of Compliance programme.
- Ability to provide technical guidance and direction in control and compliance as relates to financial services, especially Capital Markets.
- Ability to engage with regulators and law enforcement agents.
9th October, 2021.
Interested and qualified candidates should send their CV to: email@example.com using the Job Title as the subject of the email.
WHO IS Norrenberger Financial Group?
Norrenberger is a leading, independent financial services group that provides bespoke financial solutions that add value to our individual and institutional clients. Our component companies are licensed and regulated either by the Central Bank of Nigeria (CBN) or the Securities & Exchange Commission (SEC) to provide Investment Banking, Fund Management, Financial Advisory and Stockbroking services to our discerning clientele.
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