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Risk and Compliance Officer ( Asset Management)

SENCE Limited

Quality Control & Assurance

Banking, Finance & Insurance NGN 900,000 - 1,200,000
1 month ago

Job Summary

Our client, an esteemed Asset Management Firm, is actively seeking a seeking a diligent and experienced Risk & Compliance Officer to join their team. The ideal candidate will be responsible for overseeing and implementing effective risk management and compliance programs to ensure adherence to regulatory requirements and industry standards.

  • Minimum Qualification: Degree
  • Experience Level: Senior level
  • Experience Length: 5 years

Job Description/Requirements

Responsibilities:

  • Ensure all investments are within the risk tolerance set for the specific portfolios (or within the guidelines of the Trust Deed for registered Collective Investment Funds)
  • Monitor client deposits to ensure compliance with anti-money laundering (AML) regulations.
  • Prepare and dispatch periodic AML/CFT (Anti-Money Laundering/Combating the Financing of Terrorism) reports, ensuring adherence to regulatory requirements.
  • Prepare and submit periodic returns to regulatory bodies such as the Securities and Exchange Commission (SEC) in a timely manner.
  • Strive for zero regulatory infractions and fines by maintaining strict compliance with applicable laws and regulations.
  • Review and update internal processes and procedures to align with changes in regulatory requirements and industry standards.
  • Oversee compliance with the company's internal policies and procedures, ensuring consistency and adherence across all departments.
  • Prepare comprehensive Risk Management & Compliance reports on a monthly basis, providing insights into key risk metrics and compliance activities.
  • Maintain accurate records and documentation of all compliance-related activities and communications.
  • Facilitate communication and cooperation with regulators, responding to inquiries and requests in a timely and professional manner.
  • Conduct regular reviews of bank reconciliation statements and internal control reports to ensure accuracy, transparency, and adherence to established financial protocols.


Requirements:

  • Bachelor's degree (minimum 2nd Class Upper) or HND (Upper Credit) in Risk Management, Finance, or related field; a Master's degree or professional qualification is advantageous.
  • Minimum of 5 years experience in risk and compliance in an investment management company, a capital markets firm, or a bank
  • Preferably registered with the Securities and Exchange Commission (SEC) as a sponsored individual.
  • Excellent knowledge of rules and regulations issued by SEC, NGX, CBN, NFIU, and other agencies that regulate the Investment Management Industry
  • Excellent analytical skills with the ability to assess risks and identify compliance issues.
  • Effective communication and interpersonal skills, with the ability to interact confidently with regulators and internal stakeholders.
  • Detail-oriented with strong organizational and documentation skills.
  • Ability to work independently and collaboratively within a team environment.


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