DUTIES & RESPONSIBILITIES
- Provide support to Team Lead, SBU Compliance Monitoring for compliance monitoring plan across the
Strategic Business Units. - 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
Business Units. - Continuous monitoring of the adherence to the Compliance policies, applicable legal and regulatory
standards, and assisting in enforcement as needed on SBUs. - Escalate recurring compliance issues/breaches to the Team Lead, Strategic Business Units 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.
JOB REQUIREMENTS
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.
