Compliance Analyst (SEC-Sponsored)

About the role

A new stockbroking firm, a subsidiary of a leading investment management group, is recruiting a SEC-sponsored Compliance Analyst. The role supports the firm's regulatory compliance framework and ensures adherence to all regulations governing stockbroking operations, including those of the SEC, the Nigerian Exchange (NGX) and other regulators.

Key responsibilities

• Monitor the firm's activities against SEC regulations, stock exchange rules and other laws, and track breaches and remediation
• Conduct periodic compliance reviews and risk assessments, and review internal policies for regulatory alignment
• Monitor client transactions and trades for market abuse, insider trading and manipulation, and prepare reports on suspicious activity
• Ensure AML, CFT and KYC compliance, review onboarding documents and escalate suspicious activity
• Prepare and submit periodic regulatory reports, maintain compliance registers and assist in inspections and audits
• Advise business units on compliance matters and help deliver compliance training
• Maintain accurate compliance records, logs and incident reports

Required profile

• Bachelor's degree in Finance, Accounting, Economics, Law, Business Administration or a related field; a master's degree is an added advantage
• Must be a SEC-sponsored individual
• At least 4 years of relevant compliance experience in a stockbroking or securities trading company
• Demonstrated experience in regulatory compliance, surveillance, AML/CFT monitoring and regulatory reporting
• Associate, ACS/ADC qualification; ACAMS, ICA, CRCM or other compliance certifications are required

Required skills

• Strong knowledge of SEC rules, capital market regulations and stock exchange requirements
• Understanding of AML/CFT regulations and KYC standards
• Analytical and investigative skills, strong report writing and documentation
• Proficiency in Microsoft Office, especially Excel and Word