Assistant Manager-Regulatory Compliance

Key Resposnsibilities

• Support the implementation of Regulatory Compliance and Conduct Programmes by assisting in the execution of established frameworks, policies, and procedures within assigned areas.
  

• Assist in the application of Regulatory Compliance and Conduct frameworks across business units, ensuring adherence to defined processes and escalation of any deviations.
  

• Track and compile regulatory developments and updates, supporting the preparation of summaries and initial impact assessments.
  

• Provide support in interpreting regulatory requirements, assisting with documentation, analysis, and preparation of inputs for regulatory change impact assessments.
  

• Update and maintain the Regulatory Obligations Register, ensuring information is accurately captured, recorded, and kept current in line with guidance from senior team members.
  

• Log, track, and support the investigation of compliance breaches, policy exceptions, and risk tolerance breaches, ensuring proper documentation and timely escalation.
  

• Prepare responses and supporting documentation for regulatory requests, inspections, and submissions, for review and approval by Managers and Senior Managers.
  

• Support administrative and coordination aspects of regulatory engagement activities, including scheduling, documentation, and follow-ups.
  

• Compile data and assist in the preparation of compliance dashboards, management information (MI), and reports, ensuring accuracy and completeness of underlying data.
  

• Capture and maintain data within GRC systems and compliance tools, ensuring records are up to date and aligned with established standards.
  

• Follow established methodologies, templates, and documentation standards, ensuring consistency in outputs and adherence to compliance processes.
  

• Coordinate information gathering across teams to support Compliance and Conduct activities, ensuring timely submission of required inputs.
  

• Provide general support to ensure alignment between Compliance, Risk, and Business units, escalating issues or inconsistencies to senior team members as appropriate.
  

Education and Qualification

• Bachelor’s degree
  

• Relevant professional qualifications such as CAMS, ICA is an added advantage
  

• Minimum 2 years’ experience in Compliance, Risk, Internal Audit, or Assurance in the financial services industry
  

• Exposure to financial services regulatory frameworks (e.g., CBK, FATF, Basel)
  

Key Competencies and Skills:

• Good understanding of regulatory compliance processes and control frameworks
  

• Ability to prepare and validate compliance outputs
  

• Good analytical and problem-solving capability
  

• Good stakeholder coordination and communication skills