Spok Capital Limited is a client-focused financial Services company, licensed by the Securities & Exchange Commission. We offer wide range of financial, investment and advisory services to meet specific needs of our clients.
We are recruiting to fill the position below:
Job Title: Compliance Manager
Location: Lagos
Job Type: Full Time
About the Job
- The Compliance Manager is responsible for overseeing and managing all aspects of regulatory and policies compliance within the organization.
- This role involves developing, implementing, and maintaining effective compliance programs to ensure adherence to relevant laws, regulations, policies, and industry standards.
Duties and Responsibilities
Regulatory Compliance:
- Stay abreast of changes in financial regulations and ensure that the organization is up to date with all relevant laws and industry guidelines
- Interpret and communicate regulatory requirements to relevant departments within the organization
- Develop and update compliance policies and procedures to reflect changes in regulations and industry best practices
- Implement policies across the organization, ensuring that employees are aware of and adhere to compliance requirements
- Conduct regular training sessions to educate employees on compliance policies and procedures
- Collaborate with legal and regulatory affairs teams to address compliance issues and provide guidance on regulatory matters
- Assist in the implementation and monitoring of the Enterprise Risk Management framework, tools, practices, and policies to identify, measure, report, monitor and manage enterprise risks.
Monitoring and Reporting:
- Establish and maintain a system for ongoing monitoring of compliance activities
- Prepare and submit regular reports to senior management and regulatory bodies, summarizing compliance activities and addressing any identified issues
- Ensure that internal reporting mechanisms are effective in capturing and escalating potential compliance breaches
Administration:
- Manage general office administration. Organization of meetings and appointments
- Organize office operations, procedures and company files for easy access for management and employees.
- Foster a culture of compliance through effective communication and training programs
- Provide guidance and support to employees on compliance-related matters
- Act as a point of contact for compliance-related inquiries from internal and external stakeholders.
- Assist in onboarding process for new hires
- Work with legal and company secretary as may be regularly required
- Communication and Training:
Requirements
- At least a Bachelor’s Degree in Law, Finance, Accounting or any related course.
- Minimum of 3 years’ post call experience
- Ability to work in a team and independently.
- Good at building relationships.
- Should be proficient in evaluating controls through established frameworks Excellent communication and interpersonal skills.
- Experience and good knowledge in financial services industry such as assets management, investments, equity, banking etc. will be an added advantage
- Good knowledge of financial regulations and industry standards
How to Apply
Interested and qualified candidates should forward their CV to: [email protected] using the job title as the subject of the mail
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