SBU Compliance Review Officer

• First Degree (or equivalent) in Law, Banking & Finance or related discipline

Experience

• A minimum of 3 years experience working in compliance or related areas in financial services
• Experience of implementing and advising on compliance programmes.

• First Degree (or equivalent) in Law, Banking & Finance or related discipline

Experience

• A minimum of 3 years experience working in compliance or related areas in financial services
• Experience of implementing and advising on compliance programmes.

Duties & Duties

• Provide support to Team Lead, SBU Compliance Monitoring for compliance monitoring plan across the
• Strategic Business Units.
• Assist in the review of the framework for ensuring prompt report renditions to regulatory authorities.
• Assist in responding to regulatory enquiries and examination reports relating to the activities of Strategic
• Business Units.
• Continuous monitoring of the adherence to the Compliance policies, applicable legal and regulatory
• standards, and assisting in enforcement as needed on SBUs.
• Escalate recurring compliance issues/breaches to the Team Lead, Strategic Business Units Compliance Monitoring on monthly/quarterly for further follow-up and resolution /escalation.
• Carry out and prepare investigation reports as the dictates of the compliance activities demands.
• Participate in Compliance Risk Assessment workshop carried out by Compliance Conduct and Advisory Unit.
• Carry out spot checks to test the effectiveness of processes/procedures put in place to ensure compliance with applicable laws, regulations and best practices.
• Perform other duties and responsibilities as may be assigned.