Legal

Compliance Officer At Arm Hold Co.

ARM Hold Co.·Lagos, nigeria·Full Time·Contract
LegalFull TimeContract
-View details & apply →

Job Summary

  • ARM Investment Managers Limited is seeking a Compliance Officer to join its compliance team for the Fund/Portfolio Management business, regulated by the Securities and Exchange Commission (SEC) Nigeria. Reporting to the Head of Compliance, the role holder will support day to day monitoring of the firm's compliance with the Investments and Securities Act (ISA) 2025, SEC Rules and Regulations, and all applicable guidelines and directives issued by the Commission. The role holder will execute compliance monitoring, testing, reporting and administrative duties under the direction of the Head of Compliance. The Sales Performance Specialist acts as the bridge between strategy, data, and execution, ensuring that sales processes, CRM systems, and reporting frameworks support ARM Group's growth and cross-subsidiary collaboration

Job Details

Regulatory Compliance Monitoring

  • Monitor day to day compliance with the ISA 2025, SEC Consolidated Rules and Regulations, and all circulars and directives issued by the SEC, relevant agencies and the Federal Government.
  • Maintain the regulatory compliance calendar covering periodic returns, license/registration renewals, and sponsored individual obligations, flagging upcoming deadlines and any breaches or near misses.
  • Support the Head of Compliance in reviewing fund prospectuses, trust deeds, offer documents and marketing materials for regulatory compliance prior to issuance or client distribution.
  • Monitor portfolio management activity for adherence to investment mandates, concentration limits, related party rules, and fund specific regulatory restrictions (e.g. permissible assets, valuation and pricing rules, redemption terms)

AML/CFT/CPF & Financial Crime Compliance

  • Support the AML/CFT/CPF function under the SEC AML/CFT/CPF Regulations 2022, including CDD/EDD reviews, UBO identification, PEP screening, and sanctions/watchlist screening.
  • Assist with preparing suspicious transaction reports and onward filing to the NFIU via GoAML and maintaining audit-ready records of AML/CFT/CPF assessments and escalations.
  • Help keep AML/CFT/CPF policies current against Nigeria's evolving FATF status and international standards and support periodic independent testing of the AML/CFT/CPF control framework.

Reporting & Support to the Head of Compliance

  • Prepare supporting data, schedules and first drafts for compliance reports to the Board Audit & Risk Committee (BARC) and Group Compliance.
  • Maintain the register of significant deficiencies and control weaknesses identified during monitoring.
  • Support the Head of Compliance during regulatory examinations, inspections and audits by preparing documentation and evidence, and coordinating management responses.

Policy, Training & Culture

  • Assist in maintaining and periodically updating the compliance manual, AML/CFT/CPF policy, conflicts of interest policy, and related internal control documentation.
  • Help design and deliver compliance and AML/CFT/CPF training for staff, including targeted training for portfolio management and client facing teams, and maintain training records for regulatory evidence.
  • Act as a day to day compliance point of contact for front office and operations teams, referring judgement calls and policy exceptions to the Head of Compliance.

Sponsored Individual & SEC Administration Support

  • Support in maintaining the firm's sponsored individual register, including onboarding, transfers, status changes and resignations, in line with SEC Rules 19 and 35 (as amended).
  • Assist with preparing and tracking SEC correspondence, filings and the annual CMO registration renewal.

Requirements

  • Bachelor's degree in Law, Accounting, Finance, Economics or a related discipline.
  • Professional certification or progress toward a recognized compliance credential (e.g. DCP, CIN, CAMS) is an advantage.
  • Eligible to be registered by the SEC as a Compliance Officer is an advantage but not mandatory at application stage.
  • Minimum 3 - 5 years' relevant experience, ideally including exposure to compliance, risk, internal audit or legal functions within a SEC regulated capital market operator, or comparable financial institution.
  • Working familiarity with the ISA 2025, SEC Consolidated Rules and Regulations, and the SEC AML/CFT/CPF Regulations 2022, or a demonstrated ability to build this knowledge quickly.
  • Experience in preparing compliance documentation, monitoring reports or regulatory schedules.
  • Exposure to fund administration, portfolio management operations, or collective investment scheme (CIS) regulation is an advantage but not essential. Skills & Competencies
  • Good regulatory comprehension and clear written communication.
  • High personal integrity and sound judgement, with the confidence to flag issues and escalate promptly.
  • Comfortable working with front office and operations teams to gather information and follow up on outstanding items.
  • Meticulous record keeping and attention to detail.
  • Working knowledge of, or willingness to learn, AML/CFT/CPF systems (e.g. GoAML, screening tools) and general capital markets technology.

Key skills

BA/BSc/HND
Apply Now

At a glance

Company

ARM Hold Co.

Location

Lagos, nigeria

Employment

Full Time

Experience

Valid until

Not specified

Created

July 23, 2026

More opportunities

Similar roles you might like

Legal And Compliance Officer At First Ally

First Ally

Lagos, nigeria

full-time

Role Summary: The Legal and Compliance Officer will oversee regulatory compliance and legal advisory functions, ensuring adherence to capital market regulations and fund management laws. The candidate must be a SEC-Sponsored Individual with demonstrated experience in fund management compliance. Key Responsibilities: Develop, implement, and maintain comprehensive compliance frameworks in line with the Securities and Exchange Commission and other regulatory requirements, ensuring all activities align with industry regulations, policies, and ethical standards. Oversee the preparation, submission, and accuracy of all regulatory filings while ensuring timely submissions. Monitor and manage compliance risks, developing strategic solutions to mitigate regulatory exposures. Serve as the primary liaison for regulatory bodies, including facilitating the Securities and Exchange Commission inspections, audits, and maintaining cordial relationships with regulators such as the Financial Reporting Council, and others. Provide legal advisory support to ensure compliance with fund management agreements, client mandates, and industry best practices. Conduct internal compliance training to foster a culture of accountability, awareness, and adherence to statutory regulations. Coordinate the drafting, periodic reviews, and updates of compliance-related policies such as the Compliance Manual, Anti-Money Laundering policies, and Complaint Management Policy. Conduct regulatory watch, review proposed laws and regulations, and advise on their impact on the Group's operations. Facilitate the registration and maintenance of an adequate number of SEC Sponsored Individuals for each company in the Group. Proactively address and resolve identified regulatory breaches or infractions to ensure zero penalties or infractions. Plan and coordinate periodic compliance audits and training sessions as required by law. Assist in drafting, reviewing, and vetting legal and commercial documentation, providing legal support across all units. Prepare compliance reports and circulate updates on relevant regulatory changes to all units. Ensure compliance with Know Your Customer (KYC) policies and manage customer complaints in adherence to SEC Rules on Complaint Management. Act as a trusted advisor, offering business advisory services on day-to-day compliance matters and supporting management on strategic fund governance decisions. Qualifications, Skills and Attributes: Must be a SEC-Sponsored Individual- (Compliance Officer) 7-9 years of proven experience in compliance, specifically within the fund management sector. Strong knowledge of SEC rules, AML/CFT/CPF regulations, and Nigerian capital market laws. Exceptional analytical and problem-solving skills with attention to detail. Proactive and capable of working independently Strong legal research and drafting skills, with exceptional attention to detail Excellent written and verbal communication, people management, and relationship-building skills Highly organised and able to manage multiple tasks efficiently Ability to navigate and balance both legal and commercial considerations High level of integrity and professionalism Collaborative team player with a focus on achieving collective goals

2 days ago

Compliance Officer At Aureole Consulting Limited

Aureole Consulting Limited

Abuja, nigeria

full-time

Job Summary We are seeking a highly competent Compliance Officer with a legal background and strong experience in capital markets and investment management. The ideal candidate will be responsible for ensuring that the organization operates in full compliance with all regulatory requirements, particularly within the financial services and capital markets space. Key Responsibilities Design, implement, and continuously enhance a robust compliance and regulatory framework aligned with capital markets and investment management operations. Ensure full compliance with securities regulations governing private placements, alternative investment structures, real estate investment vehicles, and private credit transactions. Provide legal oversight on deal structuring, investment documentation, offering memoranda, and investor agreements. Review, approve, and ensure regulatory compliance of all investor communications, marketing materials, and capital raise documentation. Advise on legal and regulatory implications of new investment products, structures, and fundraising strategies. Monitor regulatory developments and provide timely interpretation and guidance on business impact. Oversee AML, KYC, and investor onboarding processes to ensure full regulatory compliance. Conduct compliance audits, internal investigations, and risk assessments across investment activities. Liaise with regulatory authorities, external counsel, auditors, and other relevant stakeholders. Ensure accurate, timely, and complete regulatory filings and statutory reporting obligations. Train internal teams on compliance obligations, ethical standards, and regulatory best practices. Requirements Qualified lawyer (LL.B and BL mandatory). 4 - 8 years post-call experience in capital markets law, investment regulation, or financial services compliance. Strong hands-on experience with investment structuring, securities law, and regulated financial transactions. Deep understanding of alternative investments, real estate transactions, and private credit structures. Proven experience working within or advising asset management firms, investment companies, or capital market institutions. Strong knowledge of SEC regulations and financial services compliance frameworks. Experience with AML/KYC compliance systems and investor due diligence processes. Strong legal drafting, analytical, and advisory capabilities. SEC sponsorship/registration eligibility is highly desirable.

3 days ago

Junior Legal Counsel At Afripoint Group Limited

Afripoint Group Limited

Lagos, nigeria

full-time

Department: Legal & Compliance Reports To: Senior Legal & Compliance Officer Job Summary We are seeking a motivated and detail-oriented Junior Legal Counsel to support the Legal & Compliance function across the Group and its subsidiaries. The successful candidate will assist with legal research, contract drafting and review, corporate governance, regulatory compliance, litigation management, and other legal matters arising from the Group's business operations. The role provides an excellent opportunity for a young lawyer to gain broad in-house legal experience across multiple business sectors. Key Responsibilities The Junior Legal Counsel will: Assist in drafting, reviewing and proofreading contracts, agreements, memoranda, letters and other legal documents. Conduct legal and regulatory research and prepare legal opinions, summaries and advisory notes. Support the review of commercial transactions and provide preliminary legal input under supervision. Assist with corporate governance and secretarial matters for the Group and its subsidiaries. Support statutory and regulatory filings with relevant government agencies and regulators, including the Corporate Affairs Commission (CAC). Maintain and update corporate records, statutory registers, licenses, permits and other compliance documentation. Monitor applicable laws, regulations and regulatory developments relevant to the Group's businesses. Assist in implementing and monitoring the Group's legal and compliance policies and procedures. Support the management and coordination of litigation, external solicitors and other professional advisers. Carry out other legal, corporate and compliance assignments as may be delegated by the Legal & Compliance Officer. Qualifications and Requirements LL.B from a recognized institution. Called to the Nigerian Bar. 1 - 3 years post-call experience; Strong legal research, writing and drafting skills. Good understanding of Nigerian corporate and commercial law. Good interpersonal and communication skills. Proficiency in Microsoft Office applications. High level of integrity, professionalism and confidentiality. Preferred Competencies: Commercial awareness and interest in business operations. Ability to learn quickly and work effectively in a fast-paced environment. Strong analytical and problem-solving abilities. Ability to work independently while taking appropriate supervision and direction. A proactive and solution-oriented mindset.

4 days ago

Tendering & Compliance Officer At Blue Phoenix Deepwater Limited

Blue Phoenix Deepwater Limited

Lagos, nigeria

full-time

Blue Phoenix Deepwater Limited is seeking a highly organized, commercially aware, and detail-oriented Tendering & Compliance Officer to support its commercial and business development functions within Nigeria's oil and gas sector. The role will be responsible for coordinating tender submissions, supporting proposal development, managing statutory and regulatory documentation, and ensuring the company is positioned to participate competitively and compliantly in client opportunities across offshore and marine service lines. The successful candidate should have practical experience in technical and commercial tendering within the Nigerian oil and gas servicing space, with strong exposure to regulatory documentation, permit processing, and statutory compliance requirements relevant to offshore, subsea, marine, and support operations. KEY RESPONSIBILITIES Coordinate EOIs, RFQs, RFPs, ITTs, Prequalification, and Tender Submissions. Prepare compliance matrices, bid documentation, submission trackers, and tender packages Manage statutory, regulatory, and compliance documentation. Support permit processing, renewals, vendor registrations, and audit readiness. Liaise with commercial, technical, QHSE, finance, legal, and operations teams. Assist with capability statements, company presentations, and business development support activities. REQUIREMENTS Bachelor's Degree in Business Administration, Engineering, Procurement, Law, Maritime Studies, Project Management, or related discipline. Minimum 3 Years' Experience in Tendering & Commercial Support within Nigeria's Oil & Gas Industry. Experience in marine services, offshore support, subsea operations, IRM, inspection, diving support, or drilling services preferred. Knowledge of compliance requirements involving NCDMB, NUPRC, and Nigerian content regulations. Proficiency in Microsoft Word, Excel, PowerPoint, and document management tools Excellent communication, proposal writing, and document coordination skills.

4 days ago

Compliance Officer - Lagos At Erisco Foods Limited

Erisco Foods Limited

Lagos, nigeria

full-time

Job Summary We are hiring a Compliance Officer to strengthen its regulatory and documentation processes. This role is ideal for professionals with a solid background in compliance, audit, and statutory reporting. The successful candidate will ensure the organization adheres to all relevant laws and internal policies. Responsibilities Conduct internal compliance audits and assist in policy implementation Monitoring compliance with company policies and directives Monitoring customer acknowledgement Monitoring compliance with credit policy, debtors circularisation, recovery of outstanding debts and reconciliation of corporate customers' accounts Monitoring the inflation of product prices Requirements B.Sc / HND / OND / Graduate Trainee of Accounting or Management Sciences with 2 or 3 years of experience is an added advantage. Bachelor's Degree in Accounting, Business Administration, Law, or a related field Strong analytical and documentation skills with close attention to detail Excellent communication, interpersonal, and coordination abilities Ability to manage multiple compliance tasks across departments. The candidate must reside within Ikeja, Ogba, Agege, Ojota and Beger Axis.

5 days ago

Compliance Officer - Delta At Erisco Foods Limited

Erisco Foods Limited

Delta, nigeria

full-time

Job Summary We are hiring a Compliance Officer to strengthen its regulatory and documentation processes. This role is ideal for professionals with a solid background in compliance, audit, and statutory reporting. The successful candidate will ensure the organization adheres to all relevant laws and internal policies. Responsibilities Conduct internal compliance audits and assist in policy implementation Monitoring compliance with company policies and directives Monitoring customer acknowledgement Monitoring compliance with credit policy, debtors circularisation, recovery of outstanding debts and reconciliation of corporate customers' accounts Monitoring the inflation of product prices Requirements B.Sc / HND / OND / Graduate Trainee of Accounting or Management Sciences with 2 or 3 years of experience is an added advantage. Bachelor's Degree in Accounting, Business Administration, Law, or a related field Strong analytical and documentation skills with close attention to detail Excellent communication, interpersonal, and coordination abilities Ability to manage multiple compliance tasks across departments. The candidate must reside in Asaba.

5 days ago

Compliance Officer At Arm Hold Co.
Lagos, nigeria
Apply →