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  • Posted: Nov 25, 2022
    Deadline: Not specified
  • Located in the most populous country in the most diverse continent, we have come to realise that conventional financial institutions are handicapped in creating sustainable value for the present generation and the next.
    Read more about this company


    Company Secretary & Head of Compliance

    Job Description

    General Description

    • Regius Capital is part of a diverse Group with business offerings covering financial services, agribusiness and healthcare, and revenues exceeding N27 billion in 2021, including two entities rated investment grade by Agusto & Co. In furtherance of its long-term strategy, the Group is in the process of establishing Africa-focused investment banking and asset management businesses.
    • It therefore seeks to engage an experienced and highly capable Company Secretary and Head of Compliance.
    • The successful candidate’s overriding objectives would be to manage the Secretariat for the Board, superintend the Compliance function as well as be the Chief Legal Advisor to the Company and the Board, for operational and transaction-related matters.

    Responsibilities include but are not limited to:

    Company Secretariat

    • Chief Legal Adviser to the Board
    • Custodian of records of Board meetings,
    • Responsible for reproducing records of meetings when required
    • Primary liaison between the Board and the Company as well as third parties.

    Head, Compliance

    • Lead engagement with the Securities and Exchange Commission for the registration of the businesses and provide guidance to the CEO(s) and internal team in respect of same
    • Provide significant support on the registration of the businesses with other critical regulatory stakeholders (FMDQ Group, The Nigerian Exchange, CSCS Plc, NASD Plc)
    • Manage ongoing relations with relevant regulators (once registration is completed);
    • Provide guidance to all teams on actual and potential regulatory changes, including revision of laws, rules and regulations and well revision of fee requirements;
    • Ensure the development of a compliance culture throughout the firm, creating a zero-tolerance view of negative regulatory actions;
    • Provide compliance-related guidance to multi-disciplinary teams tasked with the set up of digital platforms designed to provide services to Clients.
    • Develop (or lead the development of) process and execution manuals to facilitate excellent standards for managing the compliance function of the business;

    Head of Legal

    • Review agreements and deeds prior to execution and advise company leaders (where necessary) on the advisability of clauses contained in transaction documents and other agreements;
    • Guide relevant teams within the institution on appropriate legal structures which can be utilised for transactions without increasing the firm’s risk profile.
    • Lead or provide support in the negotiation of contracts to which the firm is committed or intends to commit.


    • Develop a highly-skilled and motivated team, which is able to provide world-class support to the entire Group in matters related to Compliance, Legal Services and the Company Secretariat.
    • Provide leadership and guidance to the Legal & Compliance team, to ensure a friendly, high-performance culture, a can-do spirit and an atmosphere of continuous learning.



    • Strong knowledge of extant laws and regulations relating to financial services;
    • Strong experience as a legal and/or compliance manager of a mid-size to large SEC-regulated financial institution in Nigeria is a plus;
    • Experienced in managing seamless regulatory relationships
    • Excellent communication (written and oral) skills;
    • Broad thinking and ability to adapt multiple approaches towards achieving goals and resolving challenges
    • Outstanding leadership and mentoring skills

    Background Requirements

    • Bachelor of Laws degree
    • Relevant professional qualifications (such as ICSA OR ICSAN) or a Master’s degree in Finance Law or a compliance-related field would enhance the application
    • At least eight (8) years cognate experience in a legal/compliance/company secretariat function.


    Remuneration will be highly competitive and negotiable.

    Method of Application

    Interested and qualified? Go to CapitalSage Technology Limited on to apply

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