Legal & Compliance Officer
Job Description
A firm is looking to hire a Legal & Compliance Officer to supports the firm in meeting its regulatory, legal, and governance obligations as a SEC‑licensed Fund/Portfolio Manager. The role ensures compliance with SEC Nigeria Rules, ISA 2007/2025, AML/CFT regulations, and internal policies. The officer also provides legal advisory, prepares and reviews transaction documents, manages regulatory filings, and serves as a key interface between the firm and regulators (SEC, NFIU, FIRS, CAC, etc.).
Location: Lagos.
Salary: ₦500,000 – ₦700,000 monthly
Key Responsibilities
- Implement and maintain the firm’s compliance framework in line with SEC Nigeria requirements.
- Conduct KYC/CDD/EDD, client risk assessments, and ongoing monitoring.
- Monitor transactions for AML/CFT red flags and escalate suspicious activity.
- Maintain and update the Compliance Calendar (QMR, AUM, annual filings, renewal).
- Conduct periodic compliance monitoring reviews and prepare reports.
- Provide legal opinions on operational matters, client issues, and regulatory interpretations.
- Support dispute resolution, client complaints, and litigation management (where applicable).
- Review client onboarding documentation for completeness and regulatory compliance.
- Support Investment Management and Business Development teams with compliance guidance.
Key Requirements
- Bachelor’s degree in Law
- 3–6 years experience in compliance or legal roles within Fund/Portfolio Management, Investment Banking, Asset Management, Capital Markets.
- Strong understanding of SEC Nigeria Rules, ISA 2007/2025, AML/CFT regulations.
- Experience preparing regulatory filings and interacting with regulators.
- Experience drafting and reviewing legal/transaction documents. Preferred: ICSAN, ACAMS, or compliance certifications.
- Experience with CRM, portfolio management systems, or compliance tools.
