Chief Compliance Officer at Alan & Grant

Job Description

• Ensure all filings are prepared and filed appropriately as at when due to prevent fines and sanctions.
• Monitoring and review of all payments and transactions emanating from the Company and to ensure source documents are provided.
• Resolving client complaints in line with Compliant Management Framework
• Creation of new policy documents in line with new regulatory directive.
• Review of existing Client records, proper documentation review of new clients and verification of legal documents.
• Client profiling and Classification of Customers, KYC, PEP and BVN Validation
• Periodic review personnel and internal expenses.
• Periodic review and update of all internal processes across all departments to ensure they are in line with the approved Standard operational Procedure.
• Preparation and presentation of Quarterly Risk & Compliance reports to the Board and Management.
• Authorization, review, approval, booking & liquidation of investments based on agreed rates and consent from Clients.
• Advising the Board and Management on Compliance & Risk matters and liaising with the Company Secretary on legal matters
• Training staff on AML/CFT, identifying suspicious transaction and communicating new developments within the market to all staff.
• The liaison officer with regulatory authorities (SEC, NFIU) on behalf of the company

Requirements

• First Degree in Accounting or Economics.
• Minimum of four (4) years in the Capital Market (preferably Fund Management &Investment Banking) and a SEC sponsored Individual.
• Other Compliance & AML Certifications will be an added advantage.