Compliance Manager

Compliance Governance & Policy Management

• Develop and oversee control systems to prevent or address violations of legal, regulatory, and internal policy requirements.
• Draft, review, modify, and implement policies, procedures, and compliance frameworks to support organisational objectives and regulatory obligations.
• Periodically review procedures, reports, and operational processes to identify hidden risks, control gaps, and instances of non-compliance.
• Evaluate the effectiveness of compliance controls and recommend continuous improvements.

Regulatory Compliance & Monitoring

• Monitor compliance with applicable laws, regulations, guidelines, and industry standards.
• Stay abreast of regulatory developments and emerging best practices, assessing their impact on organisational operations.
• Interpret regulatory circulars and communicate their implications for business activities and compliance requirements.
• Coordinate and ensure timely responses to regulatory reviews, audits, examinations, and identified exceptions.
• Prepare and submit compliance reports for senior management, regulators, and other relevant stakeholders.

Risk Assessment & Control

• Conduct compliance risk assessments to identify, measure, monitor, and mitigate compliance risks across the organisation.
• Assess proposed business initiatives, products, and strategic ventures to identify potential compliance and regulatory risks.
• Monitor compliance through testing, reviews, spot checks, inquiries, investigations, and control assessments.
• Follow up on identified deficiencies and formulate practical recommendations for remediation and process enhancement.
• Support the implementation and monitoring of Anti-Money Laundering (AML) and Counter-Terrorism Financing (CTF) controls, including risk detection tools and reporting requirements.

Advisory & Stakeholder Engagement

• Serve as the primary point of contact for compliance related queries and advisory support across the organisation.
• Provide risk based compliance advice and guidance to management and business units on regulatory requirements, policy interpretation, and emerging compliance risks.
• Assess the compliance implications of new products, initiatives, partnerships, and strategic business activities, providing practical recommendations to support decision making.
• Collaborate with Legal, Human Resources, Risk Management, Internal Audit, and business units to ensure compliance requirements are effectively embedded in operations.
• Review the work of colleagues and business units where necessary to identify compliance issues and provide guidance, advice, or training.
• Escalate significant compliance concerns and recommend appropriate remediation actions where necessary.
• Promote a culture of ethical conduct, regulatory compliance, and accountability throughout the organization.

Reporting & Continuous Improvement

• Provide periodic compliance updates, dashboards, and risk reports to management.
• Track regulatory findings, remediation actions, and compliance improvement initiatives to ensure timely closure.
• Support continuous enhancement of compliance monitoring methodologies, tools, and reporting capabilities.

Requirements:

• Bachelor’s degree in law, Finance, Business Administration, or a related discipline.
• Professional compliance certification (e.g., CAMS, ICA, CRCM, Certified Compliance Professional, or equivalent) will be an added advantage.
• 5-7 years of progressive experience in Compliance, Risk Management, Internal Control, Audit, or related functions.
• Experience within a regulated industry, preferably banking, financial services, fintech, or a similar environment.
• Demonstrated experience in compliance monitoring, regulatory engagement, policy development, and compliance risk management.
• In-depth knowledge of regulatory requirements, compliance standards, and industry best practices.
• Strong understanding of AML/CFT regulations, sanctions compliance, and financial crime risk management.
• Excellent knowledge of reporting procedures, record keeping requirements, and regulatory reporting standards.
• Strong regulatory interpretation and compliance advisory capabilities.
• Sound judgment and decision-making skills, with the ability to balance regulatory requirements and business objectives.
• Ability to provide practical, risk based recommendations in complex or ambiguous situations.
• Strong analytical, investigative, and problem solving skills.