Compliance Officer At Arm Hold Co.
full-time
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.