The Nigerian Stock Exchange, services the largest economy in Africa, and is championing the development of Africa’s financial markets. The Exchange offers listing and trading services, licensing services, market data solutions, ancillary technology services, and more. It is an open, professional and vibrant exchange, connecting Nigeria, Africa and the world.

We are recruiting to fill the positions below:

Job Title: Unit Head-Monitoring & Enforcement
Location: Lagos
Report to: Unit Head-Compliant Management & Regulatory Approvals, BDR
Division: Regulation
Department: Broker Dealer Regulation Department
Grade: Unit Head-Monitoring & En
Estimated Date Of Resumption: Tuesday, 2nd October, 2018
Job Summary

• The Monitoring & Enforcement Unit is involved with monitoring the activities of Dealing Members to ensure that they operate in compliance with the Rules and Regulations of the Exchange. It enforces the Rules when incidents occur.
• The unit also has the responsibility of reviewing financial and regulatory reports of Dealing Members to assess their financial state of affairs on and on-going basis.

Key Responsibilities

• Oversee the activities conducted by the Unit
• Develop key performance indicators and drive the implementation of the plans and strategies for the Unit
• Provide assurance on the integrity of the Monitoring and Enforcement processes
• Review and analyse periodic renditions from Dealing Members of The Exchange and ensure that all renditions are prepared in line with relevant accounting standards and the rules and regulations governing Dealing Members of The Exchange
• Recommend appropriate enforcement actions against defaulting Dealing Member Firms in line with the rules and regulations governing Dealing Members of The Exchange
• Conduct Spot checks and ad-hoc inspections where necessary
• Liaise with other units and departments in the course of compliance and enforcement related activities to ensure The Exchange’s zero tolerance policy is upheld
• Develop periodic reports for both internal and external stakeholders
• Review Dealing Members financial performance and capital adequacy on a regular basis
• Conduct regular risk profiling of Dealing Member Firms
• Review Dealing Members compliance profile with the NSE rules and regulations
• Initiate disciplinary procedures and processes against defaulting market participants in line with The Exchange’s zero tolerance policy
• Maintain a schedule and track enforcement deadlines
• Send frequent notifications and reminders to defaulting firms ahead of deadlines
• Monitor the compliance status of firms and update the Broker TraX reports on a regular basis
• Drive the implementation of Dealing Member Net Capital reporting on a regular and periodic basis for enhanced capital adequacy monitoring
• Preparation of the annual departmental budgets
• Perform other tasks as assigned by the Head of the Department

Functional Competencies:

• Analytical Thinking
• Data Gathering and Analysis
• People Management
• Project Management
• Microsoft Office Packages

Behavioural Competencies:

• Collaboration

Qualification and Experience

• Minimum of B.Sc (Second Class Upper Division) in Accounting, Finance, Economics, Statistics, or related fields
• MBA or Professional qualifications in Finance i:e ACA, ACCA, CPA etc
• Experience in any of the Big 4 Audit firms or as a CBN certified Bank Examiner.

Interested and qualified candidates should:
Click here to apply online

Job Title: Manager, Disciplinary
Location: Lagos
Report to: Head, Listing Regulation Department
Division: Regulation
Department: Office of the DH-Regulation
Grade: Assistant Manager - Manager
Estimated Date Of Resumption: Monday, September 24, 2018
Job Summary

• The Exchange needs a consummate legal professional with a strong personality, good people management skills, and the ability to work as a team player to support its Disciplinary process. This individual will work out of the office of the Head, Regulation.
• The individual would be required to have a thorough understanding of The Exchange’s policies, overall mission and strategy, as well as a strong legal background, including stellar academic credentials.

Key Responsibilities

• Drafting, reviewing and advising in a qualitative manner documentation of all types relating to Disciplinary matters within agreed timeframes
• Providing enterprise wide legal support to all structures involved in the Disciplinary process
• Providing legal opinions and advice as requested for the purposes of the Disciplinary process. Providing legal advisory services to the Council and Council Committees in connection with the Disciplinary process
• Working with other business departments to manage The Exchange’s disciplinary process for its Dealing Members and listed companies. Managing The Exchange’s Disciplinary Process to be in line with best practice and international standards. Attending meetings with third parties and stakeholders regarding The Exchange’s Disciplinary Process
• In conducting disciplinary matters, pay attention to minimizing the exposure of The Exchange to legal liabilities. Working on the procedures, practices, rules and regulations relating to the Disciplinary process with a view to enhancing them and making them more robust
• Participating as representative of the Disciplinary function in Committees and Projects across the enterprise
• Supporting the business in finding creative ways to meet its SRO enforcement objectives
• Ensuring KPIs are met
• Ensuring cost effective service provision for all services rendered

Qualifications And Experience

• Minimum of 2:1 in University. Masters’ Degree in Law.
• Knowledge of Administrative Review and Regulatory Oversight matters.

Functional Competencies:

• Analytical Thinking
• Project Management

Behavioural Competencies:

• Adaptability
• Attention to Detail
• Emotional Intelligence

Interested and qualified candidates should:
Click here to apply online

Job Title: Legal Manager - Intellectual Property & Technology
Location: Nigeria
Report to: Head, Legal Department
Division: Shared Services Division
Department: Legal Department
Grade: Legal Manager IPT
Estimated Date Of Resumption: Monday, September 24, 2018
Job Summary

• The Nigerian Stock Exchange services the largest economy in Africa, and is championing the development of Africa’s financial markets.
• The Exchange offers listing and trading services, licensing services, market data solutions, ancillary technology services, and more. It is an open, professional and vibrant exchange, connecting Nigeria, Africa and the world.
• The Exchange needs a consummate legal professional with a strong personality, good people management skills, and the ability to work as a team player to support the Division and assist it to manage its legal risk.
• The individual would be required to have a thorough understanding of The Exchange’s policies, overall mission and strategy, as well as a strong legal background, including stellar academic credentials.
• The Legal Department is within the Legal and Regulation Division of The Exchange.

Key Responsibilities

• Drafting, reviewing and advising in a qualitative manner legal documentation of all types, including simple and very complex contracts within agreed timeframes in respect of IP and Technology related agreements
• Providing enterprise wide legal support on a myriad of issues in a timely and qualitative manner especially as it relates to legal issues regarding Intellectual Property (“IP”) and Technology
• Providing legal opinions and advice as requested by other employees of The Exchange and the Council of The Exchange as it relates to legal issues regarding IP and Technology. Providing legal advisory services to the Council, Council Committees, and subsidiaries of The Exchange as it relates to legal issues regarding IP and Technology
• Managing the IP portfolio of The Exchange to be in line with best practice and International Standards
• Managing the technology Agreements of The Exchange and shaping the direction of The Exchange’s technology Agreements to be in Line with best practice and international standards. Attending meetings with third parties and stakeholders regarding the IP portfolio and technology agreements of The Exchange
• Minimizing the exposure of The Exchange and its subsidiaries to legal liabilities as it relates to IP and Technology. Ensuring compliance of the enterprise with all applicable laws, and providing sound legal advice on legal obligations and implications on the enterprise’s business conduct, transactions and policies as it relates to IP and Technology
• Drafting documents as it relates to legal issues regarding IP and Technology
• Supervising and training junior attorneys who work with you
• Participating as representative of the legal function in Committees and Projects across the enterprise as they relate to legal issues regarding IP and Technology
• Supporting the business in finding creative ways to meet organizational objectives
• Relating as one of the representatives of The Exchange with various Government agencies, including The Exchange’s regulator, the Securities and Exchange Commission, Nigeria
• Ensuring KPIs are met
• Ensuring cost effective service provision for all services provided by the Legal Department in accordance with SLAs

Qualifications and Experience

• Minimum of 2:1 in University
• A law degree with 7-10 years’ experience and at least 1 year of managerial experience
• Strong understanding of securities laws and a good understanding of laws affecting the capital markets, NSE rules and CAMA
• Masters’ Degree in Law.
• Knowledge of intellectual property, and technology related agreements.

Functional Competencies:

• Analytical Thinking
• Application of Legal Expertise
• Relationship Management
• Project Management
• Knowledge of Employment Laws
• Legal Drafting and Interpretation
• Legal Advisory
• Information Technology Policy and Planning.

Behavioural Competencies:

• Attention to Detail
• Leadership
• Problem Solving
• Effective Communication Skills (Written & Oral).

Interested and qualified candidates should:
Click here to apply online

Job Title: Team Member, Capital Market Matters
Location: Nigeria
Report to: Head, Legal Department
Division: Shared Services Division
Department: Legal Department
Grade: TM, Cap Mkt Matters-Legal
Estimated Date Of Resumption: Monday, September 3rd, 2018
Job Summary

• The Legal Services Department is within the Shared Services Division of The Exchange. The Exchange needs a consummate legal professional with a strong personality, good people management skills, and the ability to work as a team player to support the Capital Market Matters Unit of the Legal Services Department in order to provide advisory support services and manage and mitigate risk.
• The individual would be required to have a thorough understanding of the Exchange’s policies, overall mission and strategy, as well as a strong legal background, including stellar academic credentials.

Key Responsibilities

• Drafting, reviewing and advising in a qualitative manner legal documentation of all types, including simple and very complex contracts within agreed timeframes related to capital market issues and transactions
• Providing enterprise wide legal support on a myriad of capital market issues in a timely and qualitative manner
• Providing legal opinions and advice as requested by other employees of The Exchange and the Council of The Exchange in respect of capital market related issues
• Providing legal advisory services regarding capital market related issues to the Council, Council Committees, and subsidiaries of The Exchange
• Working with other business departments on legal issues involving capital market related matters
• Resolving the legal capital market issues in line with the law, best practice and international standards
• Attending meetings with third parties and stakeholders regarding legal issues involving the above stated matters
• Minimizing the exposure of The Exchange and its subsidiaries to legal liabilities

Reference Information:

• Ensuring compliance of the enterprise with all applicable laws, and providing sound legal advice on legal obligations and implications on the enterprise’s business conduct, transactions and policies
• Drafting documents
• Participating as representative of the legal function in Committees and Projects across the enterprise related to Capital Market matters
• Supporting the business in finding creative ways to meet organizational objectives
• Relating as one of the representatives of The Exchange with various Government agencies
• Ensuring KPIs are met
• Ensuring cost effective service provision for all services provided by the Capital Market Matters Unitin accordance with SLAs
• Any other duties as may be assigned by the Head of the Capital Market Matters Unit or the Head of the Department.

Functional Competencies

• Capital Mkt Knowledge
• Analytical Thinking

Behavioural Competencies

• Professionalism
• Accountability
• Integrity
• Inter-Personal Relations

Qualification and Experience

• A Law Degree with 3 - 8 years’ experience
• Proven track record of strong performance managing against deliverables
• Top tier law firm experience: transactional
• Experience within the legal function of a listed company, top tier capital market or financial industry operator is a plus.

Interested and qualified candidates should:
Click here to apply online

Job Title: Unit Head - Inspection & Examination
Location: Lagos
Report to: Head, Broker Dealer Regulation
Division: Regulation
Department: Broker Dealers Regulation Department
Grade: Unit Head - I & E
Estimated Date Of Resumption: Monday, September 3, 2018
Job Summary

• The individual 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.
• Identify and implement effective controls to mitigate risk in function specific areas.
• Provide quality service, efficient and effective decision making.

Key Responsibilities

• Conduct Off- site and On-site inspections and examinations of Dealing Member Firms in line with The Exchange’s risk based supervision framework and preparing inspection reports within the stipulated timelines
• Manage the implementation of the inspections and examinations programme
• Develop KPI’s for team members and provide the required leadership to drive an effective inspections programme
• Conduct pre- trade inspections of newly licensed firms to confirm that all requirements are met before clearance to commence trading can be granted
• Conduct pre-branch opening inspections to ensure that Branch and Representative Offices of Dealing Members meet the standards set by The Exchange
• Conduct Spot checks and other ad-hoc inspections where necessary
• Conduct off site reviews / financial analysis of audited accounts/ returns
• Provide assurance on the integrity of the inspections and examinations processes
• Liaise with relevant departments and units within the Exchange in the course of inspection and examination related activities
• Review of inspection reports prepared by other members of the inspection team
• Assessment of Dealing Member Firms to ensure that they maintain the requirements of their membership status
• Review Dealing Members financial performance
• Review Dealing Members compliance profile with the NSE market rules
• Track recommendations in inspection reports and liaise with the Monitoring and Enforcement unit to implement enforcement actions as appropriate
• Initiation of disciplinary procedures against defaulting market participants on completion of on-site inspections
• Maintain a schedule of on-site and ad-hoc inspections
• Perform other tasks as assigned by the Head of the Department

Qualifications and Experience

• At least 7 years of overall professional auditing and financial management experience; practical capital market operations or financial services experience in a similar environment.

Functional Competencies:

• Data Gathering and Analysis
• Project Management
• Research and Analysis
• Microsoft Office Packages.

Behavioural Competencies:

• Collaboration
• Inter-Personal Relations.

Interested and qualified candidates should:
Click here to apply online