Responsible for providing support to the C.E.O. in ensuring compliance with the company’s operational guidelines for both internal and external operations.Regulatory Liaison: Responding to correspondences and inquiries from regulatory authorities, and government agencies, as well as proactively liaising with them to resolve all Compliance-related issues.Rendition of Returns: Rendition of periodic returns to SEC and provision of information for half yearly returns to client companies.Compliance Monitoring: Support the implementation, continuous improvement and monitoring of AML (Anti-Money Laundering) and CFT (Counter-Terrorism Financing) programmes across the organizations.Threat Assessment: Identify potential areas of compliance vulnerability and risk, as well as drive development and implementation of corrective action plans for the resolution of problematic issues.Exception Management: Provide support to the team by following up with relevant parties in resolving exceptions raised in Regulators’ audits.Stakeholder Management: Proactively seek to build mutually beneficial, and trusting relationships with both internal stakeholders (subsidiaries and shared service functions), and external stakeholders (i.e. regulators), with the aim of delivering operational impact.

MODD Management Company Limited (MODD) is a multi-client family office formally set up to provide Asset Management Advisory services to its private clients. Established in August, 2016 MODD helps your family sustain wealth over generations.

Established in 1994, ARM is a diversified and integrated asset management company with a focus on providing investment solutions to retail, high net-worth and institutional investors. For over two decades, ARM has evolved as a firm uniquely equipped to achieve these objectives and its reputation for quality research, investment expertise and value-added services has endeared its clients both locally and internationally.I was engaged as an Executive Officer to oversee Business Support mainly in ARM’s Abuja and Port Harcourt offices.The Business Support Unit (BS) is positioned to provide strategic support to the business. Its objective is to improve the quality of service ARM provides to clients in order to meet client’s expectations and grow the business. The under listed were my roles within the unit:1. Market Intelligence- Product Development- Market information management2. ARM Client Services- Customer relationship management- Management of Clients’ database tools- Management of Administration processI also provide support to the Business Development Unit (BD) in the following areas:3. Preparation of Business Proposals4. Development of Presentation materials5. Internal Account Administration6. Compliance & Regulatory Liaison- Implementation of compliance and AML/CFT programs at the group level;- Reporting of compliance breaches to the Chief Compliance Officer- Bringing to the attention of the Chief Compliance Officer suspicious transactions - Manage ad-hoc compliance related matters as required

The Securities and Exchange Commission (SEC), Nigeria is the apex regulatory institution of the Nigerian capital market supervised by the Federal Ministry of Finance.Prior to my engagement to ARM, I worked with the S.E.C during my one (1) year mandatory national youth service (NYSC). I performed the under listed roles:  Research on new Collective Investment Schemes and products; Review of applications from registered Fund Managers for the registration of Mutual Funds; Registering of incoming and outgoing mails and memos; Review of annual audited accounts of registered Collective Investments Schemes and; Taking of minutes at departmental meetings; and Data management - maintaining electronic and hardcopy filing system.