Compliance Officer at Norrenberger Financial Group

Responsibilities

• The compliance officer will be responsible for reviewing all relevant statutory laws and regulations applicable to the Company and ensuring compliance with these.
• In addition, he/she will undertake continual compliance risk assessment of company practices together with the development of internal policies and procedures and serve as liaison for all regulatory bodies.
• Develop and Review Compliance Manual to meet regulators rules and standards.
• Conduct of Customer Due Diligence on KYC of Corporate, Estate and Individual Accounts
• Submission of Statutory Returns to regulatory bodies
• Keep the business abreast of any regulatory developments and industry best practices and assess the impact on current procedures, as well as ensure that necessary changes are implemented
• Develop and implement an Annual Compliance plan.
• Liaise with Industry Regulators and other agencies and respond to regulatory inquiries, findings and deficiencies.
• Carry out Compliance reviews and Compliance monitoring activities.
• Monitor the resolution of Clients’ complaints.
• Aid respective units for purpose of compliance with applicable statutory, regulatory and supervisory requirements.
• Participate in Business Process Re-engineering exercises to ensure controls therein
• Ensure no fine/censure from Regulatory authorities.
• Oversee Improvement in the compliance culture, entity-wide

Job Requirements

• B.Sc in Accounting / Business Administration or any other discipline.
• Minimum of 5 years relevant experience in the Capital Market.
• Professional Qualifications ICAN, ACCA, CIS
• 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 relate to financial services, especially the Nigerian Capital Market.
• Technical proficiency in the development and implementation of Compliance programme.
• Ability to provide technical guidance and direction in control and compliance as relates to financial services, especially Capital Markets.
• Ability to engage with regulators and law enforcement agents.