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Legal and Compliance Officer at First Ally

Salary not specified
Employment type not specifiedExperience not specifiedNigeria
Employer not disclosedNigeria

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Legal and Compliance Officer at First Ally September, 2026 | MyJobMag window.dataLayer = window.dataLayer || []; function gtag(){dataLayer.push(arguments);} gtag('js', new Date()); gtag('config', 'G-SMD4ZL13FW'); { "@context": "http://schema.org", "@type": "JobPosting", "title": "Legal and Compliance Officer", "datePosted": "2026-09-04T09:07:51+01:00", "validThrough": "2026-09-18T00:00:00+0000", "hiringOrganization" : { "@type" : "Organization", "name" : "First Ally", "sameAs" : "https://www.myjobmag.com/jobs-at/first-ally" }, "educationRequirements": { "@type" : "EducationalOccupationalCredential", "credentialCategory" : "bachelor degree"}, "employmentType": "Full Time , Onsite", "experienceRequirements": { "@type" : "OccupationalExperienceRequirements", "monthsOfExperience" : "84" }, "industry": "Banking / Financial Services", "occupationalCategory":"Legal and Regulatory", "jobLocation": { "@type": "Place", "address": { "@type": "PostalAddress", "addressLocality": "Lagos", "addressRegion": "Lagos", "addressCountry": "NG" } }, "image":"https://www.myjobmag.com/company_logo/17453216_First Ally.png", "description": "<p><strong>Role Summary:</strong></p> <p>The Legal and Compliance Officer will oversee regulatory compliance and legal advisory functions, ensuring adherence to capital market regulations and fund management laws. The candidate must be a SEC-Sponsored Individual with demonstrated experience in fund management compliance.</p> <p><strong>Key Responsibilities:</strong></p> <ul> <li>Develop, implement, and maintain comprehensive compliance frameworks in line with the Securities and Exchange Commission and other regulatory requirements, ensuring all activities align with industry regulations, policies, and ethical standards.</li> <li>Oversee the preparation, submission, and accuracy of all regulatory filings while ensuring timely submissions.</li> <li>Monitor and manage compliance risks, developing strategic solutions to mitigate regulatory exposures.</li> <li>Serve as the primary liaison for regulatory bodies, including facilitating the Securities and Exchange Commission inspections, audits, and maintaining cordial relationships with regulators such as the Financial Reporting Council, and others.</li> <li>Provide legal advisory support to ensure compliance with fund management agreements, client mandates, and industry best practices.</li> <li>Conduct internal compliance training to foster a culture of accountability, awareness, and adherence to statutory regulations.</li> <li>Coordinate the drafting, periodic reviews, and updates of compliance-related policies such as the Compliance Manual, Anti-Money Laundering policies, and Complaint Management Policy.</li> <li>Conduct regulatory watch, review proposed laws and regulations, and advise on their impact on the Group&rsquo;s operations.</li> <li>Facilitate the registration and maintenance of an adequate number of SEC Sponsored Individuals for each company in the Group.</li> <li>Proactively address and resolve identified regulatory breaches or infractions to ensure zero penalties or infractions.</li> <li>Plan and coordinate periodic compliance audits and training sessions as required by law.</li> <li>Assist in drafting, reviewing, and vetting legal and commercial documentation, providing legal support across all units.</li> <li>Prepare compliance reports and circulate updates on relevant regulatory changes to all units.</li> <li>Ensure compliance with Know Your Customer KYC policies and manage customer complaints in adherence to SEC Rules on Complaint Management.</li> <li>Act as a trusted advisor, offering business advisory services on day-to-day compliance matters and supporting management on strategic fund governance decisions.</li> </ul> <p><br /> <strong>Qualifications, Skills and Attributes</strong>:</p> <ul> <li>Must be a SEC-Sponsored Individual- Compliance Officer</li> <li>7-9 years of proven experience in compliance, specifically within the fund management sector.</li> <li>Strong knowledge of SEC rules, AML/CFT/CPF regulations, and Nigerian capital&nbsp;market laws.</li> <li>Exceptional analytical and problem-solving skills with attention to detail.</li> <li>Proactive and capable of working independently</li> <li>Strong legal research and drafting skills, with exceptional attention to detail</li> <li>Excellent written and verbal communication, people management, and relationship-building skills</li> <li>Highly organised and able to manage multiple tasks efficiently</li> <li>Ability to navigate and balance both legal and commercial considerations</li> <li>High level of integrity and professionalism</li> <li>Collaborative team player with a focus on achieving collective goals</li> </ul>" } @keyframes pulse { 0% { transform: scale(1); } 50% { transform: scale(1.1); } 100% { transform: scale(1); } } @keyframes slide { to { transform: translateX(4px); } } .prompt-link { display: flex; align-items: center; gap: 0.75rem; padding: 0.6rem 0.9rem; background: linear-gradient(to right, #2563eb, #9333ea); color: white; text-decoration: none; border-radius: 9999px; font-weight: 500; box-shadow: 0 10px 15px -3px rgba(0, 0, 0, 0.1); transition: transform 0.3s ease, box-shadow 0.3s ease, background 0.3s ease; } .prompt-link:hover { transform: scale(1.02); box-shadow: 0 20px 25px -5px rgba(0, 0, 0, 0.1); background: linear-gradient(to right, #1d4ed8, #7e22ce); } .icon { width: 20px; height: 20px; } .prompt-link:hover .icon-scan { animation: pulse 2s infinite ease-in-out; } .prompt-link:hover .icon-arrow { animation: slide 0.3s forwards ease-out; }

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  • Posted: Sep 4, 2026

    Deadline: Not specified

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    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. The team behind the firm have been involved in various transactions ranging from Issuance of bonds, raising equity capital, mergers and acquisition, restructuring to project advisory services.

    Legal and Compliance Officer

    Role Summary:

    The Legal and Compliance Officer will oversee regulatory compliance and legal advisory functions, ensuring adherence to capital market regulations and fund management laws. The candidate must be a SEC-Sponsored Individual with demonstrated experience in fund management compliance.

    Key Responsibilities:

    • Develop, implement, and maintain comprehensive compliance frameworks in line with the Securities and Exchange Commission and other regulatory requirements, ensuring all activities align with industry regulations, policies, and ethical standards.
    • Oversee the preparation, submission, and accuracy of all regulatory filings while ensuring timely submissions.
    • Monitor and manage compliance risks, developing strategic solutions to mitigate regulatory exposures.
    • Serve as the primary liaison for regulatory bodies, including facilitating the Securities and Exchange Commission inspections, audits, and maintaining cordial relationships with regulators such as the Financial Reporting Council, and others.
    • Provide legal advisory support to ensure compliance with fund management agreements, client mandates, and industry best practices.
    • Conduct internal compliance training to foster a culture of accountability, awareness, and adherence to statutory regulations.
    • Coordinate the drafting, periodic reviews, and updates of compliance-related policies such as the Compliance Manual, Anti-Money Laundering policies, and Complaint Management Policy.
    • Conduct regulatory watch, review proposed laws and regulations, and advise on their impact on the Group’s operations.
    • Facilitate the registration and maintenance of an adequate number of SEC Sponsored Individuals for each company in the Group.
    • Proactively address and resolve identified regulatory breaches or infractions to ensure zero penalties or infractions.
    • Plan and coordinate periodic compliance audits and training sessions as required by law.
    • Assist in drafting, reviewing, and vetting legal and commercial documentation, providing legal support across all units.
    • Prepare compliance reports and circulate updates on relevant regulatory changes to all units.
    • Ensure compliance with Know Your Customer (KYC) policies and manage customer complaints in adherence to SEC Rules on Complaint Management.
    • Act as a trusted advisor, offering business advisory services on day-to-day compliance matters and supporting management on strategic fund governance decisions.


    Qualifications, Skills and Attributes:

    • Must be a SEC-Sponsored Individual- (Compliance Officer)
    • 7-9 years of proven experience in compliance, specifically within the fund management sector.
    • Strong knowledge of SEC rules, AML/CFT/CPF regulations, and Nigerian capital market laws.
    • Exceptional analytical and problem-solving skills with attention to detail.
    • Proactive and capable of working independently
    • Strong legal research and drafting skills, with exceptional attention to detail
    • Excellent written and verbal communication, people management, and relationship-building skills
    • Highly organised and able to manage multiple tasks efficiently
    • Ability to navigate and balance both legal and commercial considerations
    • High level of integrity and professionalism
    • Collaborative team player with a focus on achieving collective goals

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