Key Responsibilities
Internal Audit Execution: Plan and execute risk-based internal audits across all business units, including portfolio management, trading, operations, compliance, and finance.
Control Systems Monitoring: Evaluate the adequacy, effectiveness, and efficiency of internal controls and propose practical recommendations for improvement.
Regulatory Compliance: Ensure the company's adherence to all relevant SEC Nigeria rules and regulations, other financial services laws, and internal policies. Prepare the firm for routine and surprise regulatory examinations.
Risk Assessment: Assist in the periodic group-wide risk assessment to develop the annual internal audit plan.
Fraud Prevention & Investigation: Implement systems to deter fraud and conduct investigations into suspected irregularities as directed by the Board or COO.
Reporting: Prepare clear, concise, and objective audit reports for the COO and the Board Audit Committee, highlighting findings, risks, and agreed action plans.
Follow-up: Track and validate the implementation of management's corrective actions to address audit findings.
Process Improvement: Act as a business partner to management by providing insights to enhance operational efficiency and control design.
SEC Liaison: Serve as a key contact point on internal control and audit matters, supporting the company's status as a licensed entity.
Required Qualifications & Experience
A minimum of a Second Class Upper Division (2:1) Bachelor's degree in Accounting, Finance, Economics, Business Administration, or any related Social Science discipline from a federal or private university accredited by the National Universities Commission (NUC).
Must be a registered SEC Sponsored Individual for the function of Internal Audit/Control or be in an advanced stage of the sponsorship process.
Professional qualification such as ACA, ACCA, CIA, CISA, or CFE is a strong advantage.
Minimum of 5 years of relevant experience in internal audit, control, or risk management, preferably within a SEC-regulated entity (Asset Management, Investment Banking, Stockbroking, etc.) or a reputable financial services firm.
In-depth knowledge of the SEC Nigeria Rules & Regulations, IFRS, and the Nigerian financial services regulatory landscape.
Proven experience in drafting internal audit reports and presenting to senior management and Board Committees.
High proficiency in MS Office Suite and audit management software.
Competencies & Skills
Unquestionable Integrity and Professional Ethics: Must be objective, independent, and courageous in reporting findings.
Analytical & Critical Thinking: Strong ability to analyze complex processes, identify control gaps, and assess risk.
Meticulous Attention to Detail.
Excellent Communication & Interpersonal Skills: Ability to communicate effectively with all levels of staff, management, and the Board.
Proactive and Results-Oriented.
Discretion: Ability to handle confidential information with the utmost discretion.