Complaint Registry at The Nigerian Stock Exchange

Complaint Registry at The Nigerian Stock Exchange

Department Broker Dealers Regulation Department
Division Regulation
Role Complaint Registry Analyst
ReportsTo Head, Broker Dealer Regulation
Grade Executive Assistant – Assistant Officer

The Nigerian Stock Exchange (“The 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 incumbent would be required to have a good understanding of the Nigerian capital market rules and regulations, case management experience, record keeping, including stellar academic credentials.

? Resolve investor complaints in line with the SEC rule relating to the complaint management framework of the Nigerian Capital Market and The NSE Rules and Regulations Governing Dealing Members.
? Prepare correspondence, reports, presentations, notices and other applications for the resolution of investors’ complaints.
? Maintain (classify, assign complaint number, cross-reference, log and store records) the data base of all complaints lodged with The Exchange (Head office and branch offices).
? Input data into computerized databases, spreadsheets or other templates.
? Import and/or export data between different kinds of software.
? Verify accuracy and completeness of data

? Scan, photocopy and collate complaints documents for distribution, mailing and filing.
? Sort and file complaints documents according to established filing systems, locate and retrieve documents from files as requested and maintain records of filed and removed materials.
? Manage information retrieval systems to research and extract complaints records according to established policy in response to internal and external requests.
? Generate weekly, quarterly, and annual reports on complaints received, resolved and unresolved.
? Compile statistics and reports on all activities on complaints management.
? Generate confidential report on compliance status of firms as it relates to complaints.
? Maintain the data base of all investors’ claims (verified, unverified, compensated) before the Investors Protection Fund (IPF) of The Exchange.
? Generate quarterly, and annual reports on investor’s claims before the IPF.
? Escalation of unresolved investor complaints and/or refer complaints to the appropriate unit or department.
? Provide information and analyse the trend of investor complaints.
? Liaise and coordinate with the Monitoring and Enforcement unit on enforcement matters.
? Track resolution of investor complaints
Job Skills Attention to Detail Description Attention to Detail Type Behavioral Effective Communication Skills (Written & Oral) Description Effective Communication Skills (Written & Oral) Type Behavioral Emotional Intelligence Description Emotional Intelligence Type Behavioral Problem Solving Description Problem Solving Type Behavioral Professionalism Description Professionalism Type Behavioral Communication Skills Description Communication Skills Type Soft Skill Microsoft Office Packages Description Microsoft Office Packages Type Functional


A minimum of Bachelor’s degree in Psychology / English/ Accountancy / Law / Statistics or other related discipline.
A minimum of 2 years relevant’ experience.
Knowledge of capital market laws (NSE rules, SEC rules, ISA and CAMA) and case management.
Professional and other post graduate qualifications will be an added advantage.


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