Closing: May 9, 2024
This position has expiredPublished: May 3, 2024 (15 days ago)
Job Requirements
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Job Summary
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Job Requirements
Education:
Education:
- 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.
Responsibilities
Job Requirements
Education:
Education:
- 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, SRF Compliance Monitoring for compliance monitoring plan across the
- Strategic Resource Functions.
- 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
- Resource Functions.
- Continuous monitoring of the adherence to the Compliance policies, applicable legal and regulatory
- standards, and assisting in enforcement as needed on SRFs.
- Escalate recurring compliance issues/breaches to the Team Lead, Strategic Resource Functions 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.
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