Compliance Officer at DLM Capital Group

Role Description

• This is a full-time hybrid role for a Compliance Officer at DLM Capital Group, located in Lagos. The Compliance Officer will be responsible for managing and ensuring regulatory compliance, compliance risks management, analyzing data and trends, promptly communicating and reporting compliance requirements to stakeholders, and providing support in financial activities.

Other key aspects of the Job role as also stated below:

• Ensure that business activities within the Group comply with relevant external regulatory and / or voluntary codes and with internal policies and procedures to minimize business risk and to protect the reputation of DLM.
• Render all periodic returns/ reports to all regulatory agencies on or before regulatory deadline. 
• Assist the business units in DLM in developing policies and procedures for their operational activities and ensure such policies and procedures are approved by the Board. Also ensure the policies and procedures are updated as at when due. 
• Daily review of all Client Accounts opening documentation to promote zero tolerance on AML/CFT/CPF/KYC Compliance risk management.
• Timely escalation of all compliance & risk breaches to GCCO/GCRO and top Management
• Prompt preparation of quality Compliance Reports to Management and follow through with Responsible Units/DLM Entities for resolution of issues raised.
• Prepare quarterly Compliance report to the GCEO and Board of Director.
• Any other duties that may be assigned by the Line Manager.

Qualifications

• Compliance Management and Regulatory Compliance skills
• Analytical skills
• Excellent communication skills 
• Excellent team spirit
• Great Presentation and Reporting Skills
• Knowledge of finance principles
• Attention to detail and problem-solving abilities
• Ability to work independently and remotely
• Minimum of 3 years Compliance Experience in the Capital Market industry/Investment Banking is mandatory
• Being a SEC registered Compliance Officer is an added advantage
• Practical working knowledge of financial services regulations with a strong understanding of the local regulatory regime including those of the CBN, SEC, NGX, FMDQ, NASD, FRCN, NFIU,EFCC,FIRS,LIRS etc. 
• Bachelor's degree in Finance, Business Administration, Accounting, Economics or any numerate field
• Possessing any of the following certifications or memberships is an added advantage
• Association of Certified Anti-Money Laundering Specialists (ACAMS) 
• Designate Compliance Professional (DCP) 
• Chartered Accountants Professional Qualifications like ICAN(ACA) or (ACCA) 
• Certified Information Systems Auditor (CISA) and/ or other relevant applicable certifications or memberships.