Head, Enterprise Risk, Compliance, and Legal at Amy Consulting

Job Summary

• They are seeking an exceptional and strategic leader to establish and oversee their integrated Enterprise Risk Management (ERM), Compliance, and Legal framework.
• This role is vital to safeguarding the firm’s reputation, ensuring sustainable growth, and maintaining unwavering trust in the market.

Role Overview

• The Head, Enterprise Risk, Compliance & Legal will serve as the firm’s principal officer for all risk, regulatory, and legal matters.
• This executive role is responsible for developing, implementing, and monitoring a robust enterprise-wide risk management framework, ensuring full compliance with all SEC and other applicable regulations, and providing strategic legal counsel.
• The incumbent will be a SEC Sponsored Individual for Compliance and/or Risk Management and will act as a key advisor to the Executive Management and the Board of Directors.

Key Responsibilities
Enterprise Risk Management:

• Develop, implement, and maintain the firm’s Enterprise Risk Management (ERM) framework, policies, and risk appetite statement.
• Identify, assess, monitor, and report on all material risks (operational, market, credit, liquidity, strategic, and reputational) across the organization.
• Conduct stress testing and scenario analysis to ensure the firm’s resilience.
• Present comprehensive risk reports and dashboards to the COO, Management Committee, and the Board Risk Committee.

Regulatory Compliance:

• Act as the primary liaison with the Securities and Exchange Commission (SEC) Nigeria and other regulatory bodies.
• Ensure the firm’s continuous compliance with all SEC Rules, Investment and Securities Act, and other relevant laws and regulations.
• Develop, update, and enforce the firm’s compliance manual, policies, and procedures.
• Manage the Anti-Money Laundering (AML)/Combating the Financing of Terrorism (CFT) program, including client due diligence, monitoring, and reporting.
• Lead the preparation for and management of all regulatory examinations and audits.

Legal Advisory:

• Provide proactive legal counsel on a wide range of matters including fund structuring, investment agreements, client contracts, vendor agreements, and corporate governance.
• Review, draft, and negotiate legal documents to protect the firm’s interests.
• Manage relationships with external legal counsel and oversee all litigation matters.
• Advise on legal implications of new products, business initiatives, and regulatory changes.

Governance & Reporting:

• Ensure effective secretariat support for the Board Risk & Compliance Committee.
• Foster a strong culture of compliance and ethical conduct throughout the organization via training and communication.
• Investigate incidents of non-compliance and ensure appropriate corrective actions are implemented.

Qualifications & Experience
Mandatory Requirements:

• A minimum of Second Class Upper Division (2:1) Bachelor’s degree in Law, Accounting, Finance, Economics, Business Administration, or any related Social Science discipline from a federal or private university accredited by the NUC.
• Must be a registered SEC Sponsored Individual for the functions of Compliance and/or Risk Management.
• A Master’s degree (LL.M, MBA, M.Sc. in a related field) will be a distinct advantage.

Professional Certification (Required):

• Relevant professional qualifications such as Chartered Institute of Stockbrokers (CIS), Institute of Chartered Accountants of Nigeria (ICAN), ACCA, or Certified Information Systems Auditor (CISA).
• Certification in Risk Management (e.g., Financial Risk Manager - FRM) or Compliance is highly desirable.

Experience:

• Minimum of 5-10 years of progressive experience in risk management, compliance, and legal functions within the capital market sector, preferably with a SEC-regulated entity (Asset Manager, Investment Bank, Broker-Dealer).
• Proven track record of developing and implementing ERM and compliance frameworks.
• Deep, practical knowledge of the SEC Nigeria Rules, ISA 2007, CAMA 2020, AML/CFT Regulations, and data privacy laws.
• Extensive experience in managing regulatory relationships and examinations.
• Strong commercial legal experience with contract negotiation and corporate law.

Competencies & Attributes:

• Unimpeachable Integrity and Professional Ethics: Must be a role model for the firm’s values.
• Strategic Leadership & Influence: Ability to lead an integrated function and influence decisions at the highest levels.
• Exceptional Analytical & Problem-Solving Skills: Able to synthesize complex regulatory and risk issues into clear business implications.
• Superb Communication & Interpersonal Skills: Ability to communicate effectively with the Board, regulators, staff, and clients.
• Proactive, Resilient, and Decisive.
• High Level of Discretion and Confidentiality.

What We Offer

• Salary: N500,000 - N700,000 Monthly.
• A highly competitive executive compensation package, including performance-based incentives.
• A pivotal leadership role with direct impact on the firm’s strategy and governance.
• A seat at the leadership table with direct reporting lines to the COO and the Board.
• A dynamic and professional work environment committed to excellence.
• Opportunities for continued professional development and growth.