Compliance Officer (Securities Trading and Asset Management) at Elvaridah

Role Overview

The Compliance Officer will be responsible for ensuring that the company's operations, investment products, and advisory services comply with applicable laws, regulations, and internal policies. This includes oversight of regulatory filings with the Securities and Exchange Commission (SEC Nigeria), monitoring adherence to investor protection guidelines, and promoting a strong culture of compliance across the organization.

Key Responsibilities

Regulatory Compliance

• Ensure the company complies with all applicable laws, rules, and regulations issued by SEC Nigeria, NAICOM (if insurance-linked products), NSE, and other regulatory bodies
• Develop, implement, and regularly update the compliance framework, manuals, and policies to reflect current regulations and industry best practices
• Maintain awareness of new and pending regulatory developments that may impact the company's operations

SEC Filings and Regulatory Reporting

• Prepare, review, and submit statutory filings with SEC Nigeria, including:
  • Periodic returns (monthly, quarterly, and annual filings)
  • Registration, renewal, and update filings for funds, schemes, and investment products
  • Compliance certificates and reports in line with SEC rules and regulations
  • Reporting of significant shareholding changes, corporate actions, or other mandated disclosures
• Maintain proper documentation and record-keeping for all filings and correspondence with SEC Nigeria
• Liaise with SEC officials and ensure prompt responses to regulatory inquiries, inspections, and audits

Internal Monitoring and Controls

• Conduct periodic compliance risk assessments and internal audits to identify gaps and recommend corrective actions
• Oversee Know-Your-Customer (KYC) and Anti-Money Laundering (AML) processes, ensuring compliance with CBN and SEC AML/CFT guidelines
• Monitor investment portfolios and trading activities to detect and prevent compliance violations

Career Growth Opportunity

This position offers a great opportunity for career growth within a dynamic organization.