About the Role
GMT Securities & Asset Management Limited is a premier Nigerian-based financial services company recognized as a verified investment advisory and stockbroking firm. Registered with the Securities and Exchange Commission (SEC) in Nigeria, we are dedicated to upholding the highest standards of integrity, transparency, and regulatory compliance. We are currently seeking a meticulous and driven Compliance Officer to join our dynamic team and help navigate the evolving financial regulatory landscape.
Key Responsibilities- Ensure full compliance with all applicable Nigerian laws, regulations, and SEC guidelines governing investment advisory and stockbroking operations.
- Develop, implement, and periodically review company policies and procedures to prevent illegal, unethical, or improper conduct.
- Monitor day-to-day business operations to identify, assess, and mitigate potential regulatory, financial, and reputational risks.
- Serve as the primary liaison between the company and regulatory bodies, coordinating audits, inspections, and regulatory inquiries.
- Conduct regular internal compliance reviews, risk assessments, and training sessions for staff members across departments.
- Maintain comprehensive documentation of all compliance activities, regulatory filings, and reported violations.
- Possession of an LL.B, B.Sc., MBA, or CIS (Chartered Institute of Stockbrokers) professional qualification.
- Demonstrated knowledge of SEC regulations, the Nigerian capital market, and broader financial services compliance frameworks.
- Strong analytical, problem-solving, and attention-to-detail abilities.
- Excellent communication, interpersonal, and reporting skills.
- High level of professional integrity and ethical judgment.
- Competitive salary package commensurate with industry standards.
- Opportunities for continuous professional development and career advancement.
- A collaborative, growth-oriented work environment within a reputable financial institution.