Compliance Officer Job in a Stock Broking Firm in Nigeria

CLG Securities Limited – A reputable Stock Broking Firm, is recruiting qualified candidates into the following position:

Job Title:  Compliance Officer

Job Description

  • To support the company to discharge their responsibilities relating to compliance risk management process as required by relevant regulatory requirements, applicable code of conduct and minimum standards.
  • Assist line management and other members of staff by providing advice to guide in discharging their responsibilities to ensure compliance with all statutory, regulatory and internal policy requirements.
  • Ensure the company’s timely compliance with all regulatory requirements including but not limited to all periodic and adhoc regulatory reports and obligations
  • Ensure the appropriate use of compliance risk management tools within the business.
  • Analyse and identify compliance risks, processes and controls and provide advice to management, relevant committees and the employees in order to effectively manage compliance issues.
  • Customise, if necessary, Group Minimum Standards and facilitate, in consultation with Group Compliance, the process of adoption thereof by the business units.
  • Request dispensation when policies and procedures deviate from that of minimum standards.
  • Remain aware of regulatory & legislative developments, and practices of regulatory authorities, which are relevant to the company.
  • Assist the CEO and business units in implementing existing, new and/or amended regulatory requirements.
  • Responsible for the management of the company Procedures Manual and monitoring company’s adherence to all business procedures
  • Ensure a coordinated / aligned strategic approach to and position of, emerging regulatory developments
  • Protect the reputation of the company
  • Avoid the institution of legal action against the company.
  • Ensure good working relation with regulators.
  • To maintain a good working relationship with the Securities and Exchange Commission(SEC)
  • To guide all members of staff to act with integrity, diligence, and in an ethical manner in dealing with all clients.
  • The Compliance Officer shall be well trained in the Rules and Guidelines and shall attend regular training sessions as organized or supported by the CBN or SEC.
  • Responsible for educating the other personnel of periodic updates and adjustments as may be made by SEC from time to time.
  • Ensure that trainings tailored for the business unit are signed off and, if appropriate, assist in the delivery of the training and awareness.
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Candidate Requirements

  • First Degree in a relevant field including Banking, Finance, Accounting, Business Management, Law, Economics or a Chartered Secretary.
  • Master’s degree and/or relevant professional qualifications would be an added advantage
  • Good Compliance and Risk Management Knowledge
  • Good understanding of global financial markets
  • Good research skills
  • Minimum of 3-5 years working experience in financial services preferably in an Investment Banking environment or stockbroking with at least 2 years of Compliance experience.
  • Highly proficient in office suite(Excel, PowerPoint and word)
  • Good understanding of the Investment Banking, Stockbroking processes and SEC’s regulatory framework
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How to Apply

Applicants should send their applications to

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