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

Job Requirements
Education:

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.

Legal Jobs in Banking and Insurance, in Africa

SRF Compliance Review Officer