Role Responsibilities
Provide support to the Head of Risk and Compliance in the management of all aspects of Regulatory Compliance and Governance Programs including Core Compliance, Regulatory Compliance, Investment & Trading Compliance and Sales & Marketing Compliance.
Monitor risk and compliance issues and developments under applicable rules, laws, and regulations
to achieve compliance and to prevent and detect violations.
Assist the Head of Risk & Compliance to coordinate the internal risk and compliance reviews and monitoring activities, including SLA monitoring and periodic reviews of departments.
Support and deliver compliance training programs to ensure compliance with multiple regulatory bodies’ laws, regulations, reporting guidelines and policies.
Develop compliance dashboards and reports for senior management.
Proactively collaborate with other departments as needed to ensure compliance issues are addressed, investigated, and resolved.
Ensure regulatory filings are adequately completed and submitted within required deadlines.
Minimum Qualifications and Experience
A Bachelor’s degree in Finance, Economics, Commerce, Law or other relevant business study from a recognized university and a CFA, CFE, FRM, CISI or an equivalent certification.
At least 3 years’ experience in the financial services industry in a compliance function or equivalent experience.
Deep knowledge of the investment and capital market industry, preferably gained with an institutional investor, pension fund, financial institution, or capital market regulatory body.
Understanding of trading methodologies and strategies, as well as professional practice monitoring institutional and retail trading activities.
Practical experience in risk management.
Time management skills to meet a complex set of business demands and reporting requirements.
Team player consistently demonstrating a high level of professionalism, and integrity with an exemplary personal and business ethical code.
Possesses exceptional organizational skills and strong attention to detail.
Strong communication skills and fearless and tactful in handling crucial conversations.
Skills or Qualifications that Provide Added Advantage
Experience in Compliance and/or Risk Management at a Fund Management Firm
An appreciation of fiduciary duty, internal controls and potential conflicts of interests.
Interested and suitably qualified candidates should apply through this link https://forms.office.com/r/P8URPZLne9 and forward their CV in PDF format via email clearly quoting the job title in the subject area to recruitment@sanlameastafrica.com.Application deadline is 3rd February 2023 Only shortlisted candidates will be contacted.
Apply via :
recruitment@sanlameastafrica.com
