Compliance Officer at Norrenberger Financial Group

We are hiring a Compliance Officer for one of our subsidiaries to lead its regulatory compliance function. The role involves ensuring that all trustee operations, transactions, and processes fully comply with applicable laws, regulatory requirements, and internal governance standards.

KEY RESPONSIBILITIES

• Develop, implement, and oversee a comprehensive compliance framework aligned with SEC, CBN, FRC, and other relevant regulatory requirements for trustee and investment operations.
• Monitor and interpret regulatory changes, advising management and the Board on the implications for business operations and ensuring timely implementation of updates.
• Conduct detailed compliance risk assessments and gap analyses across business units to identify exposure areas and design mitigation strategies.
• Oversee Anti-Money Laundering (AML), Counter-Terrorist Financing (CTF), and Know Your Customer (KYC) programs, ensuring full alignment with local and international standards.
• Review and approve complex trust and investment transactions, providing technical guidance to ensure all activities meet statutory and fiduciary obligations.
• Lead the preparation and submission of statutory filings, compliance reports, and returns to regulators, ensuring zero penalties or infractions.
• Design and implement monitoring and testing programs to proactively detect breaches, lapses, or operational risks.
• Investigate regulatory breaches or compliance incidents, prepare formal reports, and recommend corrective and preventive actions to management.
• Advise senior management on product structuring, corporate actions, and business expansion initiatives from a regulatory and compliance perspective.
• Foster a culture of compliance and ethics through ongoing staff training, policy reinforcement, and liaison with internal audit and risk teams.
• Serve as the primary liaison with SEC and other regulators, representing the company in audits, inspections, and regulatory engagements.

Requirements

EDUCATIONAL QUALIFICATIONS & TRAINING

• Bachelor’s degree in Law, Accounting, Finance, Business Administration, or related field; a master’s degree is an advantage.
• Specialized training in financial regulations, trustee operations, risk-based compliance, and corporate governance is an added advantage.

KNOWLEDGE & PROFESSIONAL EXPERIENCE

• 5–8 years of progressive experience in compliance, legal, or risk management within a trustee, investment, or financial services environment.
• Deep technical knowledge of SEC trustee regulations, AML/CFT compliance, and corporate trust administration.
• Strong experience in regulatory filings, inspections, and audit management.
• Exceptional analytical, documentation, and reporting skills.
• Professional certifications such as CAMS, ACAMS, CFE, ICAN, BL (Law), or CIPM Compliance Certification are highly desirable.
• Proven ability to advise senior management and engage effectively with regulators.