1. Compliance & Internal Control Officer
Responsible for the development, implementation, and on-going management of the firm’s internal control and compliance framework, including firm-wide comprehensive policies. Conducts and directs audits and on-going reviews of company’s operating procedures, and compliance with policies and regulations, including core business (investment banking), sundry investments, accounting and financial controls, and general administration. Continuously reviews and appraises the soundness, effectiveness, and proper application of procedures for discharge of various functions in the company (as stated above). Assesses the adequacy and extent of programs designed to safeguard organization assets. Compiles and issues reports detailing conclusions and providing recommendations for improvements.
Responsible for the company’s compliance with existing and evolving industry regulatory provisions and policies, especially, but not limited to regulation of capital market operations (through Securities & Exchange Commission (SEC) and Central Bank of Nigeria (CBN). Serves as liaison for all external audit and regulatory agencies. Serves as sponsored Compliance Officer to SEC.