NGX Regulation Limited (NGX RegCo) is a subsidiary of Nigerian Exchange Group Plc. (NGX Group Plc.) and a Self-Regulatory Organisation (SRO) registered by the Securities and Exchange Commission (SEC) to provide regulatory services in the Nigerian capital market.
We are recruiting to fill the position below:
Job Title: Team Lead, Inspections & Examinations
Location: Lagos
Job Summary
- The NGX RegCo seeks an exceptional individual who would be required to have a thorough understanding of the Nigerian Capital Market rules and regulations, broad inspections and examinations or Audit experience, as well as a strong analytical background, including stellar academic credentials.
- The candidate must also be able to identify and implement effective controls to mitigate risk in function specific areas, provide quality service, make efficient and effective decisions, provide timely information to management, manage teams effectively and mentor subordinates to achieve the overall corporate objectives of the company.
Responsibilities
- Supervise and manage the team responsible for carrying out all on-site and off-site compliance reviews and monitoring of the activities of Trading License Holders in line with the approved rules and regulations governing market operators.
- Review all reports, (Inspections, Disciplinary, Financial and ad hoc reports) publications (Supervision Priorities, Compliance Calendars etc.) and outputs prior to circulation internally and externally prepared by the team.
- Lead all examinations (Risk Based, Target, Pre-Trade, Pre-Branch Opening, Compliance Reviews, Ad hoc exams etc.) and allocate the available resources for the examinations in a cost-effective manner.
- Lead all compliance reviews (financial and non-financial) into the activities of firms.
- Liaise with relevant departments and units within NGX Regulations Limited and NGX Group to request for information and discuss relevant findings observed in the course of examination related activities.
- Provide assurance on the integrity of the examinations and compliance review processes.
- Develop the Key Performance Indicators (KPIs) for team members and provide the required leadership to drive and achieve the key deliverables of the team.
Person Specification & Required Qualification(s)
- Must be a Chartered Accountant or Qualified Stockbroker with Audit Experience
- Knowledgeable of International Financial Reporting Standards
- Knowledgeable of Technology Security and Risk Assessment
- At least 7 years’ post NYSC experience of overall professional auditing and financial management; practical capital market operations or financial services experience in a similar environment.
- Experience in research, analysis, collection/collation, rules interpretation and presentation of data; developing standard and ad hoc reports, templates, dashboards, scorecards, and metrics; interfacing and liaison with top and senior management, employees and other key stakeholders.
- A commitment to collaboration and a joint-accountability approach.
- Effective organizational and interpersonal skills including written and verbal communication skills.
- Demonstrate professional maturity and poise with strong ability to manage people.
- Excellent time management, ability to multi-task and turnaround deliverables quickly.
- Basic project management skills.
- Excellent communication and presentation skills to communicate with stakeholders.
- Strong working knowledge of MS-Word, Excel, PowerPoint, Visio and Project.
Deadline: 22nd March, 2023.
Method of Application
Interested and qualified candidates should send their updated Resume to: talentmanagement@ngxgroup.com using “NGX REGCO Recruitment – Team Lead, Investigations & Examinations” as the subject of the email.
Note: We would be delighted to have further discussions with you.
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