Compliance Officer
Kennedia Consulting Limited (KCL)
Job Summary
- The Compliance Officer will develop and oversee the Company’s compliance framework, ensuring adherence to all applicable laws, SEC regulations, internal policies, and ethical standards governing asset management companies in Nigeria.
- The role also serves as the primary liaison with regulatory authorities while promoting a strong culture of compliance across the organization.
Key Responsibilities
- Ensure compliance with the Investments and Securities Act (ISA), SEC Rules, and other applicable regulations.
- Develop, implement, and maintain compliance policies, procedures, and internal controls.
- Prepare and submit all statutory and regulatory reports and coordinate regulatory inspections and enquiries.
- Monitor business and investment activities to identify compliance risks and recommend corrective actions.
- Ensure compliance with AML/CFT, KYC, CDD, EDD, and other regulatory requirements.
- Maintain compliance manuals, review policies periodically, and support corporate governance initiatives.
- Monitor conflicts of interest, insider trading controls, and related-party transactions.
- Review investment products and portfolios to ensure compliance with regulatory and client requirements.
- Conduct compliance monitoring, risk assessments, staff training, and maintain the Compliance Risk Register.
- Serve as the primary liaison with the SEC and other regulatory authorities.
Requirements
- Bachelor's Degree in Law, Finance, Accounting, Economics, Business Administration, or a related discipline.
- Relevant professional certification or an MBA will be an added advantage.
- Applicants from Microfinance Banks (MFBs) with relevant compliance experience but without the required SEC licence are welcome to apply. The successful candidate will be sponsored by the Company to obtain the necessary licence.
- Experienced Assistants to Compliance Officers within the Asset Management industry are strongly encouraged to apply.
- Strong knowledge of SEC Rules, the Investments and Securities Act (ISA), AML/CFT regulations, and corporate governance requirements.
- Excellent analytical, investigative, and problem-solving skills.
- Strong report writing, communication, and stakeholder management abilities.
- High level of integrity, confidentiality, and attention to detail.
Salary
N600,000 - N800,000 per month.
Application Closing Date
28th July, 2026.
How to Apply
Interested and qualified candidates should send their updated CV to: View email address on hotnigerianjobs.com using the Job Title as the subject of the email.
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Vacancy posted 16 hours ago
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