Compliance Officer

Job Summary

To establish, implement, and maintain an effective compliance framework that ensures the firm operates in full adherence to applicable laws, regulations, and guidelines governing asset management and securities trading activities, while mitigating regulatory, reputational, and financial crime risks.

Job Details

• Monitor and interpret regulations, circulars, and guidelines issued by the Securities and Exchange Commission Nigeria and other relevant authorities.
• Provide timely compliance advisory to business units (portfolio management, trading desk, operations).
• Ensure all products, services, and transactions comply with regulatory requirements.
• Develop and execute a risk-based Compliance Monitoring Programme (CMP).
• Conduct periodic reviews of:
  o    Portfolio management activities
  o    Trade execution and settlement processes
  o    Client onboarding and account management
• Identify control gaps and recommend corrective actions.
• Implement AML/CFT frameworks in line with regulatory expectations and coordinate with the Nigerian Financial Intelligence Unit where required.
• Oversee:
  o    Customer Due Diligence (CDD) and Enhanced Due Diligence (EDD)
  o    Transaction monitoring for suspicious activities
  o    Filing of Suspicious Transaction Reports (STRs)
• Ensure compliance with KYC requirements for investors and counterparts
• Prepare and submit statutory returns and regulatory filings to the Securities and Exchange Commission Nigeria within stipulated timelines.
• Act as the primary liaison with regulators during inspections, audits, and inquiries.
• Maintain accurate and up-to-date regulatory registers.
• Develop, review, and update compliance policies and procedures (e.g., AML/CFT Policy, Code of Ethics, Personal Account Dealing Policy).
• Ensure alignment with evolving regulatory requirements and industry standards.
• Promote adherence to corporate governance principles.
• Monitor trading activities 
• Enforce compliance with market conduct rules and ethical standards.der trading
• Investigate compliance breaches and recommend disciplinary or remedial actions.
• Ensure proper documentation 
  
   

Requirements

• Bachelor’s degree in law, Finance, Economics, or related field
• Relevant professional certifications (preferred):
  • SEC-sponsored certifications
  • Compliance or AML certifications
• 4-7 years relevant experience in:

1. Asset management, securities trading, or capital market
2. Compliance, risk, or audit function.
3. Strong understanding of SEC regulations and capital market operations

About Company

Greenwich Group

https://www.greenwichbankgroup.com/

Greenwich Holdings Limited represents a new phase in the evolution of the Greenwich brand, which began in 1994 with the establishment of Greenwich Trust Limited—a leading provider of financial advisory and issuing house services, licensed by the Securities and Exchange Commission (SEC). Following regulatory approval from the Central Bank of Nigeria, the firm transitioned into merchant banking, leading to the launch of Greenwich Merchant Bank Limited in 2020. This shift expanded the Group’s service offerings and deepened its role in Nigeria’s financial sector. Today, Greenwich Holdings Limited serves as the financial holding company within the broader Greenwich Group, providing strategic oversight to key subsidiaries including Greenwich Merchant Bank, Greenwich Asset Management, Greenwich Securities, and Greenwich Capital Market Limited. The Group continues to expand its footprint through affiliated entities – Greenwich Registrars and Data Solutions, Greenwich Trustees, GTLP and remains committed to innovation, growth, and long-term value creation.