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At Sloane & Carter we pride ourselves in our knowledge of the Nigerian market dynamics and how business can strive in this terrain, but that is only a part of who we are. We see the business terrain as an endless network of opportunities. Harnessing these opportunities re-quires ingenuity, focus and a clear cut vision. At Sloan & Carter, we have pro...
The role holder would play important role in the implementation and enforcement of capital market operators’ compliance programs. She/he is required to ensure that internal processes and procedures are followed, ensure strict adherence to industry guidelines, external regulatory framework as well as policies set out by law. The Compliance Officer is required to report breaches and violations to the appropriate regulatory authorities. He acts as an internal advisor and carries out monitoring of the various business units to ensure that the firm’s activities conform to regulatory requirements.
The Compliance Officer would serve as an important contact point between Dealing Member Firms and the Regulator(s), handling and responding to various regulatory enquiries, conducting monitoring assessments, etc
ROLES & RESPONSIBILITIES
Key Responsible Areas
Desired Skills and Experience
Interested candidates that fit the above criteria should send their CV to c.nzom@sloaneandcarter.com
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