SEC Sponsored Compliance and Control Manager at Norrenberger Financial Group

Responsibilities

• Establish operating framework for the identification, management, monitoring and reporting of Compliance risks and issues to the Board and Executive Management.
• Responsible for the development, review and implementation of Compliance Policies and standards and ensuring consistent application across the Group.
• Develop, implement, and maintain the Group’s Anti Money Laundering and Compliance Programs
• Provide advice/guidance to business units, management, and the Board on all compliance issues.
• Responsible for ensuring that the Group’s operating framework meets internal and regulatory requirements.
• Develop and implement an annual effective compliance and Money Laundering training programs program (AML/CFT)
• Liaise with regulatory agencies on behalf of the group on Compliance related issues
• Ensure Zero compliance breach and fines for the Group
• Develop and implement compliance communication strategy.
• Participate in industry bodies to ensure alignment of Compliance methodology and influence national trends in Compliance Risk Management.
• Promote a compliance culture throughout Group by training staff and management officer on compliance related issues
• Providing opinion prior to entering in new markets, introducing new products and services
• Examination and evaluation of the adequacy and effectiveness of the Group’s internal control systems.
• Review of the management and financial information systems and the electronic information system.
• Liaise with Risk Management, Audit and FINCON to review the accuracy and reliability of the accounting records and financial reports
• Review of the means of safeguarding assets.
• Review of the systems established to ensure compliance with legal and regulatory requirements, codes of conduct and the implementation of policies and procedures.
• Providing of independent assurance and performing consulting assessments on the adequacy and effectiveness of Management, control frameworks and governance processes of all units within the Group, aiming at adding value and assisting the Group in achieving its strategic objectives.

Requirements

• Qualification: Master's Degree
• Applicants must be SEC Sponsored Compliance professionals
• Must possess 7-10 years experience managing Compliance and Control in an Asset Management company
• Must be willing to relocate to Abuja.