About the Role
First Ally Capital is a premier Issuing House and Financial Advisory firm licensed by the Securities and Exchange Commission (SEC), committed to delivering excellence in the Nigerian financial services industry. We are seeking a dynamic and experienced Legal and Compliance Officer to join our team in Lagos. In this pivotal role, you will oversee regulatory compliance and legal advisory functions, ensuring adherence to capital market regulations and fund management laws. The ideal candidate must be a SEC-Sponsored Individual with demonstrated expertise in fund management compliance, ready to safeguard our institutional integrity and support our strategic growth.
Key Responsibilities- Develop, implement, and maintain comprehensive compliance frameworks in line with SEC and other regulatory requirements.
- Oversee the preparation, submission, and accuracy of all regulatory filings within stipulated timelines.
- Monitor and manage compliance risks, serving as the primary liaison for regulatory bodies such as the SEC and Financial Reporting Council.
- Provide expert legal advisory support to ensure compliance with fund management agreements, client mandates, and industry best practices.
- Conduct internal compliance training, regulatory watch, and manage Anti-Money Laundering (AML/CFT/CPF) frameworks.
- Draft, review, and vet legal and commercial documentation while assisting in resolving regulatory breaches proactively.
- Ensure strict adherence to KYC policies and manage customer complaints in line with SEC regulations.
- Must be a SEC-Sponsored Individual (Compliance Officer).
- 7 to 9 years of proven compliance experience, specifically within the Nigerian fund management sector.
- Strong knowledge of SEC rules, AML/CFT/CPF regulations, and Nigerian capital market laws.
- Exceptional analytical, legal research, and drafting skills with high attention to detail.
- Excellent communication, interpersonal, and problem-solving abilities.
- High level of integrity, professionalism, and the capability to work independently.
- Competitive salary package and performance-based incentives.
- Comprehensive health insurance and wellness benefits.
- Opportunities for professional development within a leading financial institution.
- A collaborative, high-performance work culture with a clear trajectory for career growth.