Compliance Officer – Stock Broking

Overview

As a Compliance Risk Officer, you will be responsible for conducting market research and analyzing market conditions to ensure our company is in compliance with all regulatory requirements. The ideal candidate will have a minimum of 3 years of experience in compliance & risk management and be able to conduct in-depth market research.

Key Responsibilities:

• Conduct market research and analyze market conditions to identify potential compliance risks.
• Develop and implement compliance policies and procedures to mitigate risks.
• Conduct regular audits to ensure compliance with all regulatory requirements.
• Communicate with management and other stakeholders to ensure they are aware of any compliance risks and how they can be mitigated.
• Develop and deliver compliance training to employees to promote a culture of compliance.
• Monitor regulatory developments and provide guidance on any changes to compliance requirements.

Requirements:

• Bachelor’s degree in Finance, Economics, or related field.
• SEC sponsored compliance officer
• At least 4 years of experience in compliance & risk management.
• Strong knowledge of regulatory requirements for asset management firms.
• Excellent analytical and research skills.
• Strong attention to detail and ability to identify potential risks.
• Excellent communication and interpersonal skills.

Corporate Finance / Investment Banker 

Key Responsibilities

• Support origination with clear & demonstrable examples with live jobs.
• Maintain strong discipline and professionalism in handling jobs.
• Avoid lapses that could warrant Client displeasure and/or Regulatory sanctions.
• Maintain up-to-date knowledge in rules and regulations governing capital market activities and operational manuals for the Unit
• Build alliances via networking actively in the local business circuit and develop relationships to sniff out opportunities and escalate same to senior management for follow-up.
• Coach and develop support staff and delegate work effectively to bridge knowledge gap in the Unit
• Good working relationship with the SEC, NSE, BPE, AMCON, PENCOM and other regulators

Requirements

The candidate should possess a minimum of four (4) years’ work experience in an Investment Banking Firm. Minimum of B.Sc./HND in Finance/Accounting or Economics/Business Administration is required. SEC Sponsored individual would be an added advantage. 

Interested candidates can send their CVs to aomosun@collavaresolutions.com stating the role they are applying for in the subject of the email.