Compliance Manager at Cardinal Stone

Job Summary

  The Job holder will ensure internal and external compliance with relevant regulatory bodies 

Job Description

• Receiving and directing compliance issues to appropriate resources for investigation and resolution.
• filing returns to relevant Regulatory bodies (SEC, NSE, EFCC,NFIU,NASD,FMDQ etc.) and ensuring proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
• Raising reports on exceptional issues (eg; mandates; error trades; over-due debit balance and violation).
• Monitoring and reporting results of compliance/ethics efforts of the company and in providing guidance for the Board and senior management team on matters relating to compliance.
• Processing, coordinating, implementing, and communicating all necessary actions to ensure achievement of objectives of an effective compliance program.
• Collaborating with other departments (e.g., Finance, Internal Control, Human Resources, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution
• Consulting Legal department/Company secretariat on legal compliance issues Conduct by evaluating or recommending the initiation of investigative procedures. 
• Responding to alleged violations of rules, Regulations, policies, procedures, and Standards of Conduct by evaluating or recommending the initiation of investigative procedures.
• Responsible for identifying areas of compliance vulnerability and risk; and will develop/implement corrective action plans for resolution of problematic issues and provides general guidance on how to avoid or deal with similar situations in future.
• Responsible for providing reports on regular basis, and as directed or requested by the Group Head Compliance, to keep the organization and management informed of the operation and progress of compliance efforts in the Securities business
• Coordinating internal and external stakeholders activities (Tax, EFCC,NFIU etc) and ensure activities are integrated and in compliance with the Enterprise Risk and Compliance  Management, Plan, processes, and procedures.
• Maintaining a compliance grid and tracking systems.

Job Requirement

• 3 - 7 years expereince as a compliane professional in an Asset Management/Securities firm
• First degree in a relevant course 
• Proficiency in Microsoft Office Tools
• Good analytical and problem-solving skills
• Good communication skill
• Ability to work under pressure with minimal or no supervision