Compliance Officer at DynamicPlus Advisory

Job Description

• Keep the business abreast of any regulatory developments and industry best practices and assessing the impact on current procedures, as well as ensuring that necessary changes are implemented
• Develop and implement an Annual Compliance plan.
• Liaise with Industry Regulators and other agencies and respond to regulatory enquires, findings and deficiencies.
• Carry out Compliance reviews and Compliance monitoring activities.
• Monitor the resolution of Clients’ complaints.
• Provide assistant to respective units for purpose of compliance with applicable statutory, regulatory and supervisory requirements.
• Ensure no fine/censure from Regulatory authorities.
• Improvement in the compliance culture, enterprise-wide

Qualifications

• Candidates should possess a Bachelor's Degree, HND
• Minimum of 4 years relevant experience in Capital Market.
• Registration as a sponsored individual with the Securities and Exchange Commission.
• A professional qualification is desirable.
• Law Degree is an added advantage.

Core Competencies:

• A general knowledge and understanding of the Nigerian Capital market.
• General familiarity with laws and regulations governing financial institutions.
• In-depth knowledge of the legislation, rules and regulations which relates to financial services, especially Nigerian Capital Market.
• Technical proficiency in the development and implementation of Compliance programmes.
• Ability to provide technical guidance and direction in Compliance as relates to financial services, especially Capital markets.
• Ability to engage with regulators and law enforcement agents.
• Effective communication, organizational and time management skills.
• Proficiency in Microsoft Office Applications.
• Business Awareness.