The Risk and Compliance Associate will assist in putting adequate and effective controls in place to mitigate regulatory risks and to review and evaluate the adequacy and effectiveness of these controls on a regular basis
Responsibilities
Develop an appropriate Compliance Management methodology and process to implement within the asset management business
Implement an appropriate risk management methodology and process within the business
Ensure that all portfolios managed by the business comply with investment
Ensure submission of all reports and certificates to the relevant regulatory bodies
Ensure applications for new products and licenses to all regulators are completed and submitted on time
Manage the relationship with the relevant regulators on behalf of CAML
Ensure that product development policy for CAML is implemented correctly
Cultivate a healthy relationship with trustees of the respective collective investment schemes and pension schemes within CAML
Ensure compliance with the personal Account Trading Policy
Establish a healthy risk culture within the business
Conduct regular control self-assessment process
Identify key risk indicators for all risks within the business and to monitor and report on these key indicators
Compile risk registers for the business and maintain these registers
Ensure that the risk management approach and process is aligned with the business strategy and tactical interventions.
Requirements
A degree in Law, Finance or any other business related qualification from a recognized university
A professional qualification will be an added advantage
Knowledge of financial markets within the East African region
Knowledge of financial instruments
Knowledge of investment management industry
Knowledge of pensions industry
Knowledge of collective investment industry
Knowledge and skills in the understanding, interpretation and practical implementation of regulatory requirements.
At least 3 years working experience in the financial services industry
Experienced in upholding the highest levels of service.
Learning Opportunities
The position will accord the individual an opportunity to enhance the skills in the development of an appropriate Compliance Management methodology and process to implement within the asset management business
go to method of application »
