Omobolanle Olatunji ACS. MSc.
Compliance And Securities Dealing
6 Ameachi Close, Thomas Ajufo Estate, Alimosho, Lagos,LA
Summary
An authorized dealing clerk of NGX Exchange and registered sponsored individual with SEC with over fifteen years of working experience in capital market spanning Compliance, Internal Control and Risk Management.
Detail-oriented Compliance Manager offering 15 years of expertise in risk management, policy development and strategic planning. Advanced knowledge of regulatory compliance with proven track record of partnering with executives and business leaders to identify vulnerabilities and create corrective actions. Collaborative and team-oriented with excellent communication and interpersonal skills to foster strategic partnerships and promote company reputation.
Overview
22
22
years of professional experience
1
1
Certification
Work History
Compliance Manager
Norrenberger Securities Limited
03.2023 - Current
- Manage the identification, communication and tracking of regulatory changes and analyze the impact of such changes for the company
- Liaise with regulatory agencies on behalf of the company.
- Preparation of compliance report to the Board on quarterly basis on compliance issues and processes
- Periodic training of staff on AML/CFT programs and policies
- Monitor and enforce daily posting of operations department
- Identification and Assessment of risk
- Reporting and Communication of risk mitigation plan and monitoring to management
- Examination and evaluation of adequacy and effectiveness of the organization’s internal control systems
Chief Compliance Officer
Foresight Securities and Investment Ltd
05.2016 - 02.2023
- Advising management and staff on application of regulatory rules
- Continuous monitoring and implementation of relevant regulations, codes and rules as well as ensuring compliance with both internal and external policies.
- Preparation and submission of all regulatory reports as at when due to SEC, NSE, NFIU e.t.c
- Supporting the board and management to develop and implement a robust compliance program and policies.
- Monitoring updates on regulations, rules and guidelines and disseminating regulatory updates to management and staff.
- Coordinating the training of staff on AML /CFT awareness, detection method and reporting requirements
- Complaint management
- Data protection regulation compliance
Manager
Foresight Bureau De Change Ltd
04.2015 - 04.2016
- Engaged in buying and selling foreign currencies from CBN, banks, end-users, or any other source.
- Responsible for the daily operations and management of the BDC
- Ensured compliance with requirements in rendering the stipulated returns to regulatory bodies.
- Built and maintained customer relationships.
- Responsible for timely preparation and submission of required reports and returns to regulators.
- Liaison with CBN and ABCON
Assistant Manager, Risk Management & Compliance
Foresight Securities and Investment Ltd
01.2014 - 03.2015
- Assisted in the preparation of required regulatory reports to NSE & SEC
- Ensuring compliance with internal and external policies and rules
- Keeping abreast with changes / updates in rules and regulations
- Ensuring dissemination of updates on regulations, rules and guidelines to management and staff
- Identifying possible risk of non-compliance and advise on risk mitigation.
- Oversees other compliance functions.
National Youth Service Corp
02.2004 - 02.2005
- Government Girls Secondary School
Education
MSc. - Finance
University of Lagos
01.2014
BSc. - Banking & Finance
University of Ado-Ekiti
01.2003
Senior Secondary School Certificate - undefined
Iganmode Grammar School
Ota01.1994
Skills
In-depth knowledge of financial markets and various financial instruments
Certification
Member of Chartered Institute of Stockbrokers 2017
References
Available on request
TRAININGS ATTENDED
- Anti-Money Laundering and Counter Terrorism, organized by NCMI.
- Enterprise Risk Management, organized by Conrad Clark / NSE
Accomplishments
- Handled the regulatory requirements / applications for successful listing of Norrenberger Tubor Fund (NTF) and Norrenberger Islamic Funds( NIF) on the Nigerian Exchange Limited.
- Coordinated the successful Norrenberger Securities migration to new Online Trading Platform.
Timeline
Compliance Manager
Norrenberger Securities Limited
03.2023 - Current
Chief Compliance Officer
Foresight Securities and Investment Ltd
05.2016 - 02.2023
Manager
Foresight Bureau De Change Ltd
04.2015 - 04.2016
Assistant Manager, Risk Management & Compliance
Foresight Securities and Investment Ltd
01.2014 - 03.2015
National Youth Service Corp
02.2004 - 02.2005
BSc. - Banking & Finance
University of Ado-Ekiti
Senior Secondary School Certificate - undefined
Iganmode Grammar School
MSc. - Finance
University of Lagos