COMPLIANCE
OFFICER

Responsibilities

Regulatory Compliance Support

• Assist in monitoring organizational activities for compliance with relevant laws, regulations, and guidelines (e.g., CBN, SEC, NDIC, AML/CFT).
• Track regulatory updates and help communicate changes to relevant departments.
• Assist in preparing reports and submissions to regulators under the guidance of senior compliance staff.

Compliance Monitoring and Testing

• Support periodic compliance reviews and spot checks of internal processes and transactions.
• Document compliance exceptions and support the remediation tracking process.
• Help identify control weaknesses and report findings to the Compliance Manager.

Policy and Procedure Support

• Assist in maintaining and updating internal compliance policies and manuals.
• Ensure that employees have access to the latest compliance documentation and tools.

Training and Awareness

• Help coordinate compliance training sessions for staff on key regulatory topics (e.g., Know Your Customer (KYC), Anti-Money Laundering (AML), data protection).
• Maintain training records and participation logs for audit and reporting purposes.

Record-Keeping and Documentation

• Maintain organized and up-to-date records of regulatory filings, licenses, audit findings, and internal approvals.
• Ensure all compliance documentation is properly archived for internal and external reviews.

Support for Internal and External Audits

• Provide requested compliance documentation during audits or inspections.
• Assist in following up on audit recommendations related to compliance issues.

• Other responsibilities as may be assigned