Compliance Manager - SEC Sponsored at eRecruiter Nigeria

Our client is an asset management company with a team of experienced industry expert. They currently have an opening for a Compliance Manager - SEC Sponsored.

Job Overview

The Compliance Manager will be responsible for establishing standards and implementing procedures to ensure that the compliance program throughout the organization is effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations. The Compliance Manager will provide reasonable assurance to senior management that there are effective and efficient policies and procedures in place, well understood and respected by all employees, and that the firm is complying with all regulatory requirements.

Job Responsibilities

• Evaluate current and new securities laws and regulations, federal and state, as applicable
• Conduct periodic risk assessments, testing, and response plans
• Develop, review, revise, implement and update compliance policies and procedures based upon changing business practices, regulatory or legal requirements
• Design and monitor control systems to detect, prevent and deal with violations of law, regulatory requirements, and internal policies
• Regularly assess the efficiency of control systems and recommend effective improvements
• Coordinate with all department heads to align compliance policies and procedures to operations
• Perform the annual compliance review of the firm
• Lead employee training sessions on legal and compliance issues
• Enforce standards and promptly respond to detected offenses, develop corrective action, and report findings to Management and other interested parties as required
• Responsible for reviewing, updating, and testing the firm’s Disaster Recovery Plan
• Oversee monitoring of trade compliance, reporting, and other related activities

Requirements

• Bachelor’s degree in any field of study (MBA a significant plus)
• Must be SEC sponsored
• A minimum of 4 years’ experience as a Compliance Officer, Compliance Manager, or similar position
• Strong knowledge of industry processes and regulations (SEC and state, as applicable, to investment advisers)
• Outstanding communication and interpersonal abilities
• An analytical mindset with excellent organizational skills
• Strong Excel skills at a moderately advanced level with the ability to utilize many of Excel’s various functions in the accomplishment of routine tasks that require comparative or logical analysis
• Excellent writing skills
• Strong work ethic