Regulatory Compliance Officer at Meristem Securities Limited

Job Summary

• To drive regulatory and compliance functions across all business units in Meristem. • Ensure that compliance policies of Meristem are in line with current regulatory requirements and applicable best practice.

Job Duties/Responsibilities:

• Collation and timely submission of weekly, monthly and quarterly returns/reports to the regulators i.e. NFIU, SEC, NSE & CBN;
• Liaising with the regulators on all regulatory matters;
• Tracking regulatory pronouncements and release of new Rules/Policies/Guidelines as they affect Meristem’s operations;
• Attend promptly to all enquiries and correspondences from the Regulators;
• Ensuring customers due diligence and validation of KYC information;
• Conduct regular checks on the activities of Business Units to ascertain level of compliance with internal/operational policies and procedures;
• Coordination of AML/CFT awareness within the organization;
• Keep abreast of trends/ development taking place in the capital market;
• Perform other duties as may be assigned by the supervisor.

Timeline for Deliverables

• Weekly/Monthly/Quarterly submission of returns/reports to the regulators;
• Weekly reports of the activities of the department.

Any other assignment as may be assigned by your supervisor

Requirements

Qualification/Education:

• Bachelor’s Degree or its equivalent. 

Work Experience:

• 0-2 years experience in the capital market industry;
• Registration with SEC as a Sponsored Individual (will be an added advantage).

Skills & Competencies:

• Practical knowledge of office tools (Word, Excel & PowerPoint);
• Good communication and peoples management skills;
• Report writing and presentation skills.