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Job Description
The Compliance Analyst will work as part of the team to ensure that compliance and policies and procedures follow best practice in terms of meeting legislative and regulatory requirements.
The candidate for this role will be responsible for:
Developing and implementing an effective legal compliance program
Creating sound internal controls and monitor adherence to them
Drafting and revising company policies
Monitoring compliance with laws, regulations and internal policies
Leading in the gathering of internal information in response to regulatory requests
Proactively auditing processes, practices and documents to identify weaknesses
perform risk assessments to understand risk level, significance and scope
highlighting or escalating areas of concern
ensuring that your findings are recorded and followed up with management so that issues can be rectified
keeping up to date with, and understanding relevant laws and regulations
Evaluating business activities (e.g. investments) to assess compliance risk
Collaborating with external auditors and HR when needed
Setting plans to manage a crisis or compliance violation
Educating and training employees on regulations and industry practices
Addressing employee concerns or questions on legal compliance
Keeping abreast of internal standards and business goals
reviewing marketing materials, presentations and websites to ensure compliance with regulatory requirements
performing various general administrative duties (such as file creation and maintenance of ongoing administrative projects)
Qualifications
Role Competencies
Possess a strong constitution and conviction
Must be ethical and principled
Must proactive and intelligent
Familiar with all phases of development and implementation of an effective legal compliance program.
Possess strong critical thinking and attention to detail needed to evaluate business activities and assess compliance risk
Solid understanding of what is needed to form critical plans to manage crisis events or compliance violations, should they ever occur
Excellent written communication skills
Educational and Experience
Bachelor's Degree in law, finance, business administration, or a related field.
2 - 3 years of experience as a Compliance Officer within an SEC-regulated entity
Proven success in the risk management field.
Strong working knowledge of industry legal requirements and controls (e.g. Anti-Money Laundering).
Fluency in industry practices and professional standards.
Track record of integrity and commitment to professional ethics.
Strong business acumen.
Excellent collaborative teamwork skills.
Attention to detail and strategic thinking.
Professional certification (CCEP) a plus.
Additional Information
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