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 Bank

https://www.greenwichbankgroup.com/

Greenwich Merchant Bank traces its roots to Greenwich Trust Limited, a pioneering indigenous financial solutions provider. Registered with the Securities & Exchange Commission (SEC) as a Financial Adviser and Issuing House, Greenwich Trust commenced operations in June 1994. Over the course of 30 years, the bank has grown into a market leader, renowned for its expertise in the Nigerian financial sector.