Listings Compliance & Enforcement Officer at Nigerian Exchange Group (NGX Group)

Job Summary

We are seeking an exceptional individual to work in close collaboration with the Team Lead, Listings Compliance & Enforcement.

This role involves the overall monitoring of Issuers to ensure compliance with post-listing obligations of Nigerian Exchange Limited (NGX) and other relevant Stakeholders. The candidate will be saddled with providing continuous training and guidance to Issuers on the use of NGX Regulation Limited’s online filing platform and ensuring information filed thereof meet acceptable standards set by NGX Regulation Limited.

Responsibilities

• Monitoring Issuers compliance with post listing requirements and Identifying areas of non-compliance by Issuers, as well as recommend appropriate enforcement actions.
• Maintaining a register of regulatory sanctions imposed on Issuers.
• Tracking of fees and fines due.
• Develop the Compliance policies and procedures for monitoring Issuers.
• Track all regulatory reports and maintain a directory of submissions.
• Review periodic renditions (quarterly returns, audited financial statements etc.) submitted by Issuers and take necessary actions to address discrepancies.
• Review Issuers announcements intended for public dissemination.
• Monitor the use of X-Issuer to ensure that only accurate and precise information is transmitted to the market.
• Draft, review, update and interpret Capital Market rules and regulations.
• Prepare and maintain Annual General Meeting tracker and schedules.
• Research and identify educational opportunities, as well as organising trainings, developing presentations and facilitating such trainings as required.
• Conduct research on emerging trends, regulations or government policies and make recommendations to Management.
• Prepare compliance reports for all relevant stakeholders.
• Respond to regulatory enquiries.
• Manage relationships between NGX Regulation Limited and its stakeholders.

Person Specification & Required Qualification (s)

• B.Sc. or HND in Finance, Economics, Accounting, Banking and Finance, Law, or related fields.
• Minimum of 3 to 5 years’ post NYSC work experience in a financial sector.
• Adequate knowledge of IFRS, Securities legislation, and Corporate Governance principles and codes and tax laws.
• Ability to work with minimum supervision.
• Excellent communication and presentation skills.
• Must be able to build strong collaborative partnerships with staff members across the enterprise.
• High levels of self-motivation, enthusiasm and result-orientation. 
• Ability to maintain the strictest level of confidentiality and exhibit high standards of professionalism.
• Professional qualifications in Corporate Governance and Finance fields are an added advantage.