Legal and Compliance Officer

About the role

The Legal and Compliance Officer will lead regulatory compliance and provide legal advisory for a fund management group operating under Nigerian capital market regulations. The role requires a SEC‑Sponsored Individual who can design robust compliance frameworks and act as the primary liaison with regulators.

Key responsibilities

• Develop, implement and maintain compliance frameworks aligned with SEC rules and other regulatory requirements.
• Oversee preparation, submission and accuracy of all regulatory filings, ensuring timely delivery.
• Monitor compliance risks and devise strategic solutions to mitigate regulatory exposure.
• Serve as the main point of contact for regulatory bodies, facilitating inspections, audits and ongoing relationships.
• Provide legal advisory on fund management agreements, client mandates and industry best practices.
• Conduct internal compliance training and promote a culture of accountability.
• Draft, review and update policies such as the Compliance Manual, AML policies and Complaint Management Policy.
• Maintain an adequate number of SEC‑Sponsored Individuals across the group and address any regulatory breaches promptly.

Required profile

• Must be a SEC‑Sponsored Individual.
• 5‑7 years of proven compliance experience in the fund management sector.
• Strong knowledge of SEC rules, AML/CFT/CPF regulations and Nigerian capital market laws.
• Excellent analytical, problem‑solving and legal research skills.
• Highly organised with the ability to manage multiple tasks independently.
• Professional integrity, strong communication abilities and collaborative team mindset.