LEGAL AND COMPLIANCE MANAGER AT FIRST ALLY | LEGAL & COMPLIANCE JOBS IN LAGOS

About Company:

First Ally Capital was incorporated on May 20, 2014 as an Issuing House and Financial Advisory firm, with an authorized share capital of N2.5 billion, and an issued and fully-paid up capital of N1.9 billion. The Firm was licensed by the Securities and Exchange Commission on November 20, 2014. The firm commenced operations at a very significant point in the evolution of the Nigerian financial services industry and has leveraged its solid capital base and the excellent track-record and credentials of its team, directors and shareholders. 

Job Description:

We are seeking a highly experienced and strategic Legal and Compliance Manager to ensure our firm’s operations remain fully aligned with the stringent regulatory landscape of the Nigerian capital markets. As a core member of our leadership team, you will act as a guardian of our professional integrity and a trusted advisor on governance. The ideal candidate must be a SEC-Sponsored Individual with a deep-rooted history in fund management compliance.

Requirements:

• Regulatory Framework: Develop and maintain a robust compliance framework that adheres to Securities and Exchange Commission (SEC) mandates and wider industry standards.

• Filing & Reporting: Oversee the accurate and timely preparation/submission of all regulatory filings.

• Liaison & Inspections: Act as the primary point of contact for regulatory bodies, facilitating audits and inspections by the SEC, Financial Reporting Council, and others.

• Risk Management: Monitor and mitigate compliance risks; proactively address any potential breaches to ensure zero penalties.

• Legal Advisory: Provide expert legal support for fund management agreements, client mandates, and commercial documentation.

• Policy Oversight: Draft, review, and update critical documents, including the Compliance Manual, Anti-Money Laundering (AML/CFT/CPF) policies, and Complaint Management procedures.

• Culture & Training: Lead internal training initiatives to foster a company-wide culture of accountability and regulatory awareness.

• KYC & Due Diligence: Ensure strict adherence to Know Your Customer (KYC) protocols.

Qualifications and Skills:

• Mandatory: Must be a SEC-Sponsored Individual (Compliance Officer).

• Experience: 7–9 years of specialized experience in compliance within the fund management sector.

• Technical Knowledge: Expert-level understanding of SEC rules, AML/CFT/CPF regulations, and Nigerian capital market laws.

• Legal Proficiency: Strong legal research, drafting, and documentation skills with exceptional attention to detail.

• Strategic Ability: Proven capacity to balance legal requirements with commercial business objectives.

• Core Competencies: Proactive problem-solving, high integrity, independent judgment, and the ability to manage multiple high-stakes tasks simultaneously.

Salary

Application Closing Date: Not specified

Application Instructions:

Click the button below to apply