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Compliance Officer
Job Location:
Monthly Salary:
Posted:
21 July 2026 (30+ days ago)
Posted:
Application Deadline:
18 October 2026
Application Deadline:
Vacancies:
1 Vacancy
Vacancies:
Job Summary
- 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:
oPortfolio management activities
oTrade execution and settlement processes
oClient 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:
oCustomer Due Diligence (CDD) and Enhanced Due Diligence (EDD)
oTransaction monitoring for suspicious activities
oFiling 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 trading
- Investigate compliance breaches and recommend disciplinary or remedial actions.
- Ensure proper documentation
- BachelorsdegreeinlawFinanceEconomicsorrelatedfield
- Relevantprofessionalcertifications (preferred):
- SEC-sponsoredcertifications
- ComplianceorAMLcertifications
- 4-7 years relevant experience in:
- Assetmanagementsecuritiestradingorcapitalmarket
- Complianceriskorauditfunction.
- StrongunderstandingofSECregulationsandcapitalmarketoperations
Required Experience:
Unclear Seniority
About Company
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 ... View more
