Compliance Officer

Job Summary

• To drive regulatory and compliance functions across all business units in Meristem. • Ensure that compliance policies of Meristem are in line with current regulatory requirements and applicable best practice.

Job Details

Collation and timely submission of weekly, monthly and quarterly returns/reports to the regulators i.e. NFIU, SEC, NSE & CBN;
Liaising with the regulators on all regulatory matters;
Tracking regulatory pronouncements and release of new Rules/Policies/Guidelines as they affect Meristem’s operations;
Attend promptly to all enquiries and correspondences from the Regulators;
Ensuring customers due diligence and validation of KYC information;
Conduct regular checks on the activities of Business Units to ascertain level of compliance with internal/operational policies and procedures;
Coordination of AML/CFT awareness within the organization;
Keep abreast of trends/ development taking place in the capital market;
Perform other duties as may be assigned by the supervisor.

Timeline for Deliverables

Weekly/Monthly/Quarterly submission of returns/reports to the regulators;
Weekly reports of the activities of the department.

Any other assignment as may be assigned by your supervisor

Requirements

Minimum of three years' experience in the capital market industry;
Bachelor’s Degree or its equivalent.
Registration with SEC as a Sponsored Individual (will be an added advantage).

About Company

Meristem Securities Limited

https://meristemng.com/

<p>We are a capital market conglomerate, that provides a plethora of distinct financial services through a range of products in wealth management, stockbroking, financial advisory, trusteeship, registrars and probate management services. With these offerings we have continued to fulfill our promise of wealth creation, preservation and transfer for all clients.</p>