Compliance Officer at Norrenberger Financial Group

Norrenberger is an Integrated Financial Services Group with components licensed by the CBN and SEC to provide Advisory, Asset Management, Investment Banking and Securities Trading services amongst others.

We are recruiting to fill the position below:

Job Title: Compliance Officer

Location: Lagos
Employment Type: Full-time

Job Description

• 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.

Responsibilities

• 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
• Daily Clients’ Trades Reconciliation and validation of Monthly Bank Reconciliation
• Stocktaking, inventory control and valuation.
• 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 enquires, 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.

Qualifications

• Minimum of 5 years relevant experience in the Capital Market.
• B.Sc in Accounting/Business Administration or any other discipline.
• Professional Qualifications ICAN, ACCA, CIS
• Candidates must possess at least 5 years’ hands-on experience as Compliance Officers in the investment industry (preferably stockbroking).

Application Closing Date
10th September, 2021.