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Head, Compliance, Legal & Company Secretariat At KPMG

Date Posted: 04/Jul/2014
Deadline: 17/Jul/2014

KPMG :Our client, FMDQ OTC PLC (FMDQ) is a Securities and Exchange Commission (SEC) licenced over-the-counter (OTC) market securities exchange and self-regulatory organisation. The company which was registered in November 2012, has a mission to empower the OTC financial markets to be innovative and credible, in support of the Nigerian economy.

FMDQ as an industry initiative is owned by the Central Bank of Nigeria (CBN), Financial Markets Dealers Association (FMDA), commercial/merchant banks and discount houses operational in Nigeria as at 2010 and the NSE Consult Limited (a subsidiary of the Nigerian Stock Exchange). FMDQ is poised to ensure high market integrity through focus on market governance and compliance, market development and data services.

In line with its vision to be the most liquid, efficient, secure anti technology-driven OTC market in Africa by 2018, the company is looking to hire individuals with deep understanding of the capital market, to drive this vision in the capacity of functional heads in the following areas:

Head, Compliance, Legal & Company Secretariat

Ref No: TFMD004

Job Description
Reporting to the MD/CEO and the Board of Directors, the successful candidate will be responsible for coordinating the execution of FMDQ’s legal, compliance and company secretarial functions and responsibilities.

Key Responsibilities

  • Provide counsel and guidance to Management and the Board of Directors on legal matters
  • Act as the Chief Compliance Officer for the securities exchange
  • Assess, set up and implement legal and compliance processes for FMDQ
  • Develop the company’s compliance register and drive the automation of compliance monitoring
  • Act as the company secretary to the Board of Directors and provide guidance on governance matters


  • Maintain appropriate documentation of compliance activities
  • Identify compliance issues and conduct or direct the internal investigation of the compliance issues
  • Report violations of compliance or regulatory standards to the MD/CEO
  • Disseminate and update written policies and procedures related to compliance activities within FMDQ
  • File appropriate compliance reports with appropriate regulatory agencies
  • Ensure zero compromise of compliance procedures
  • Facilitate smooth execution of all the company’s secretarial responsibilities e.g.
    • Preparation for Board and Board Committee meetings
    • Serve as secretary to Executive Management meetings
    • Filing of annual returns with the Corporate Affairs Commission (CAC)
  • Ensure appropriate documentation and safekeeping of all relevant legal documents
  • Act as custodian of the company seal and vet all documents held under seal
  • Prepare agreed periodic activity and performance reports for the attention of the MD/CEO
  • Identify all activities within FMDQ that may lead to litigation and advise as appropriate
  • Perform any other duties that may be assigned by the MD/CEO or Board of Directors

Qualifications and Experience

  • Bachelor's degree in law
  • Must be a barrister at law with at least twelve (12) years’ post-call experience in international capital market
  • Experience in compliance and international securities markets certifications will be an added advantage

Competency and Skills Requirement

  • Good knowledge and appreciation of securities laws, capital market regulation and compliance requirements
  • A deep understanding of SEC Rules, Investment and Securities Act (ISA) and international capital market regulation will be key
  • Good knowledge and understanding of the Nigerian legal framework (corporate and commercial law)
  • Excellent written and oral communication skills
  • Good interpersonal and people management skills

Method of Application
Interested and qualified candidates should send their CV’s to: [email protected] with the relevant job title and code stated in the subject line of the email.

Each application must include:

  • A cover letter detailing the applicant’s position of interest and detailed contact information
  • Applicant’s updated curriculum vitae
  • Copies of relevant credentials and certificates

All applications will be treated in confidence. Only shortlisted candidates will be contacted.

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