COMPLIANCE OFFICER AT GTI INVESTMENT | COMPLIANCE JOBS IN LAGOS

About Company:

GTI Investment - We are your trusted partner in investment banking services. Our broad range of service offerings comprises Securities Dealing, Asset Management, Trusteeship, Corporate Finance, Private Equity, and Micro banking. Since 1998, we have actively HandHeld our highly diversified client base – Corporations, Financial Institutions, Governments, and Individuals – to a financially secure future.

Job Description:

We are seeking an experienced and strategic Compliance Officer to join our fast-growing asset management firm. In this critical role, you will be the guardian of our regulatory integrity, ensuring that all operations align with the guidelines set by the Securities and Exchange Commission (SEC) and other governing bodies. You will be responsible for designing and overseeing robust compliance programs that safeguard the firm from regulatory risk while maintaining our reputation for excellence.

The ideal candidate is a disciplined professional with deep technical knowledge of the Nigerian financial landscape and the leadership capacity to foster a culture of transparency and accountability.

Requirements:

Regulatory Oversight & Liaison

• SEC Alignment: Ensure all firm operations comply with the laws, regulations, and guidelines issued by the SEC and relevant regulatory bodies.

• Liaison Officer: Act as the primary point of contact for the SEC and other regulatory authorities, ensuring seamless communication and reporting.

• External Reporting: Timely reporting of material compliance issues to regulatory bodies whenever required.

Compliance Framework & Policy Development

• Strategic Design: Develop, implement, and regularly review a comprehensive compliance framework to monitor regulatory changes and update internal processes.

• Policy Management: Create and maintain internal policies and procedures that align with international best practices and industry standards.

• Internal Audits: Conduct regular internal audits and compliance checks to proactively identify, assess, and mitigate potential risks.

KYC, AML & Monitoring

• AML/CFT Leadership: Oversee the firm’s Know Your Customer (KYC) and Anti-Money Laundering (AML) programs; facilitate regular AML/CFT training for all staff.

• Transaction Monitoring: Ensure rigorous monitoring of transactions across staff, employee, and client accounts to detect and prevent irregularities.

• Breach Investigation: Investigate any compliance breaches, recommend corrective actions, and ensure the implementation of necessary fixes.

Business Collaboration

• Advisory: Work closely with Business Managers to develop effective and sustainable compliance programs that support business growth without compromising integrity.

Qualifications and Skills:

• Education: Bachelor's Degree in Law, Finance, Business Administration, or a related field.

• Experience: * 3–6 years of professional experience in compliance, specifically within an asset management or financial services firm.

• Certification: Mandatory Requirement: The candidate must be an SEC-sponsored individual as a Compliance Officer.

• Technical Skills: * Mastery of local and international financial regulations.

  • Strong understanding of risk management and internal control systems.

• Core Competencies:

  • Integrity: Unwavering ethical standards and professional conduct.

  • Analytical Thinking: Ability to interpret complex legal and regulatory documents.

  • Communication: High-level negotiation and interpersonal skills for liaison roles.

Salary

Application Closing Date: Not specified

Application Instructions:

Interested and qualified candidates should send their CV and Cover letter to: career@gti.com.ng using the Job Position as the subject of the mail.