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11 Apr 2016

Full-time Compliance Officer Vacancy, CLG Securities Limited

CLG Securities Limited – Posted by Nigeria Job bucket Staff Lagos, Lagos, Nigeria

Job Description

The Firm:

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

The Job :Compliance Officer, CLG Securities Limited

Job Status: Full Time Job,Graduate/Exp

Remuneration: Attractive,

Job Category: Security Jobs,

Location: Lagos, Nigeria

Job Profile

  • 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.

Job Qualifications

  • 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.

How To Apply

Applicants should send their applications to [email protected]

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Job Categories: Security Jobs In Nigeria. Job Types: Full-time. Job Tags: CLG Securities Limited and Compliance Officer.

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