Compliance Officer (Parthian Securities)
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Job Location:
Monthly Salary:
Posted on:
11 hours ago
Vacancies:
1 Vacancy
Job Summary
Render daily weekly monthly quarterly and annual returns (as applicable) to
S.E.C. NGX NASD FMDQ and NFIU adequately and promptly
Draw up annual AML/CFT training plan and facilitate AML/CFT training
Timely and effective dissemination of regulatory updates within the organization
while providing necessary impacts.
Assist the CEO and business units in implementing existing new and/or amended regulatory requirements.
Review and authorize clients onboarding forms to ensure KYC adequacy
Conduct of Customer Due Diligence on KYC of Corporate Estate and Individual accounts
Authorize clients Inter Member Transfer In & Out.
Carry out compliance audit on the various unit of the organization in line with
regulatory standards
Review and update compliance policy and procedure
Process the registration of sponsored individual and approved persons
Notify the regulatory authorities of changes within the firm
Liaise with the industry regulators and respond to their enquiries while ensuring
good and quality relationship.
Promote compliance culture company wide and guide other units on compliance
related matters
Monitor the resolution of clients complaint
Review daily trades for correctness
Review payments for correctness
Bachelors degree in Finance Business Economics Law and/or
related field.
A Chartered Institute of Stockbrokers certification is an added
advantage
A minimum of 4 years work experience in the Capital Market as a
Compliance Officer or Broker or Operations Officer.
Must be a SEC sponsored individual.
Knowledge and understanding of Nigerian Capital Markets.
Knowledge of legal requirements and controls (e.g .Anti-Money Laundering or AML)
Familiarity with industry practices and professional standards
Required Experience:
Unclear Seniority
Key Skills
- Compliance Management
- Risk Management
- Financial Services
- PCI
- Banking
- Cost Accounting Standards
- Quality Systems
- Research Experience
- NIST Standards
- Securities Law
- SOX
- ISO 27000
About Company
Parthian Partners is a leading Nigerian financial services provider, licensed by the Securities and Exchange Commission (SEC) and established in 2012. We leverage technology and expertise to empower a diverse clientele across the financial landscape. Our core strength lies in providin ... View more
