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Head, Compliance At Michael Stevens Consulting

Date Posted: 15/Jul/2014
Deadline: 21/Jul/2014

Michael Stevens Consulting seeks to fill the position of:

Head, Compliance

Primary Purpose of this Position:

  • The Compliance Officer oversees the Corporate Compliance Program, functioning as an independent and objective body that reviews and evaluates compliance issues / concerns within the organization.
  • The position ensures the Board of Directors, Management and Employees are in compliance with the rules and regulations of regulatory agencies, that company policies and procedures are being followed, and that behavior in the organization meets the company's Code of Conduct.
  • The Head, Compliance is expected to provide an effective compliance risk management framework and appropriately resourced specialized regulatory compliance support to the company.

Proposed Responsibilities / Key Performance Areas:
1.) Establish and continuously improve a consistent Compliance operating framework for the identification, management, monitoring and reporting of Compliance risks and issues with the aim to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Compliance Program whilst ensuring that the operating framework meets internal and statutory requirements.
2.) Identifies potential areas of compliance vulnerability and risk; develops / implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
3.) Acts as an independent review and evaluation body to ensure that Compliance Issues / concerns within the organization are being appropriately evaluated, investigated and resolved.
4.) Provides reports on a regular basis, and as directed or requested, to keep Corporate Compliance Committee / Risk Management Committee of the Board and senior management informed of the operation and progress of compliance efforts.
5.) Ensures collaborative effort with the relevant business units and subsidiaries in rendering accurate and timely periodic returns to the Regulators - (SEC / NSE / CBN/ etc.).
6.) Establishes and provides direction and management of the compliance Hotline.
7.) Institutes and maintains an effective compliance communication program for the organization, including promoting (a) use of the Compliance Hotline; (b) heightened awareness of Code of Conduct, and (c) understanding of new and existing compliance issues and related policies and procedures.
8.) Works with the Human Capital / Admin. Department and others as appropriate to develop annual relevant compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.
9.) Assist Line Management to comply with applicable statutory, regulatory and supervisory requirements with the view to avoid sanctions related to market conduct.
10.) Evaluate new laws and regulations and stay abreast of all legislative and regulatory developments both locally and globally that might have an impact on the company.
11.) Assist the relevant business units in Clients' Complaints Resolution / Management.

Qualification /Desired Skills & Experience
1.) B.SC / HND in Accounting, Finance or other related disciplines.
2.) 7 years (with minimum of 4 years cognate experience in the capital market) progressive work experience in Compliance, Risk Management and Audit, garnered from reputable companies in the financial industry or audit practice.
3.) 3 years of management experience with proven ability to lead and engage with Executive Management and Regulators (SEC/NSE/CBN/FRC)
4.) Strong working knowledge of the compliance risks associated with the financial service business units / products and service mix and a track record of partnering with business management to implement effective compliance programs
5.) Good working knowledge and understanding of the regulatory rules and legislations impacting the financial industry.
6.) Ability to communicate effectively, verbally and in writing, to clearly express logically reasoned ideas.
7.) Conflict resolution / Problem solving skills as well as flexibility and adaptability are of key importance.
8.) Good computer literacy knowledge of MS Word, MS Excel and MS Outlook and PowerPoint.

Method of Application
Interested and qualified candidates should submit their CV's to: [email protected] using the role applied for as the subject of the mail.

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