CLG Securities Limited - A reputable Stock Broking Firm, is recruiting qualified candidates into the following position:
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.
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.
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.
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.
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
CANDIDATE REQUIREMENTS
First
Degree in a relevant field including Banking, Finance, Accounting,
Business Management, Law, Economics or a Chartered Secretary.
Master’s Ddegree and/or relevant professional qualifications would be an added advantage
Good Compliance and Risk Management Knowledge
Highly proficient in office suite(Excel, PowerPoint and word)
Good understanding of the Investment Banking, Stockbroking processes and SEC’s regulatory framework
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.
TO APPLY
Applicants should send their applications to hr@clgsecurities.com
DUE DATE: 26 April, 2016
Job Opportunity at CLG Securities Limited
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