Compliance Manager

Qualifications

• A Bachelor's Degree in (Statistics / Accounting / Banking & Finance / Mathematics / LLB / Science) or any related field
• 6+ years of experience in a compliance role within the financial services sector.
• In-depth knowledge of financial regulations and industry standards.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Ability to work collaboratively with cross-functional teams.
• Relevant Certifications, etc.

Qualifications

• A Bachelor's Degree in (Statistics / Accounting / Banking & Finance / Mathematics / LLB / Science) or any related field
• 6+ years of experience in a compliance role within the financial services sector.
• In-depth knowledge of financial regulations and industry standards.
• Strong analytical and problem-solving skills.
• Excellent communication and interpersonal skills.
• Ability to work collaboratively with cross-functional teams.
• Relevant Certifications, etc.

Regulatory Compliance:

• Stay abreast of changes in financial regulations and ensure that the organization is up to date with all relevant laws and industry guidelines.
• Interpret and communicate regulatory requirements to relevant departments within the organization.
• Collaborate with legal and regulatory affairs teams to address compliance issues and provide guidance on regulatory matters.
• Policy Development and Implementation:
• Develop and update compliance policies and procedures to reflect changes in regulations and industry best practices.
• Implement policies across the organization, ensuring that employees are aware of and adhere to compliance requirements.
• Conduct regular training sessions to educate employees on compliance policies and procedures.

Risk Assessment:

• Conduct regular risk assessments to identify and evaluate potential compliance risks.
• Develop strategies to mitigate identified risks and ensure that appropriate controls are in place.
• Collaborate with other departments to integrate compliance considerations into business processes and systems.

Monitoring and Reporting:

• Establish and maintain a system for ongoing monitoring of compliance activities.
• Prepare and submit regular reports to senior management and regulatory bodies, summarizing compliance activities and addressing any identified issues.
• Ensure that internal reporting mechanisms are effective in capturing and escalating potential compliance breaches.

Investigations and Remediation:

• Lead or participate in investigations related to compliance matters.
• Develop and implement remediation plans to address any identified compliance deficiencies.
• Collaborate with internal audit teams to ensure that compliance controls are effective.

Communication and Training:

• Foster a culture of compliance through effective communication and training programs.
• Provide guidance and support to employees on compliance-related matters.
• Act as a point of contact for compliance-related inquiries from internal and external stakeholders.