Compliance Officer at VFD Group

Job Summary

• To assist the Chief Compliance Officer and manage designated activities and tasks in the Control & Compliance Department which are necessary to meet the department’s objectives and control processes.

Responsibilities

• Assist with the development of control management plan
• Identify key compliance obligations with the support of legal and other relevant resources and translating those requirements into actionable policies and procedures
• Assist with control assessments to evaluate the adequacy and effectiveness of policies, procedures, processes, systems and internal controls;
• Carry out periodic control assessment and test whether the controls in place respond to the controls identified
• Provide review feedbacks for annual updates to Everdon BDC’s control management framework and control register in accordance to changes in business environment
• Maintain database of all regulatory obligations
• Facilitate/support the maintenance of compliance and control registers
• Track and monitor control, compliance guidelines
• Develop plan to resolve identified issues in collaboration with concerned unit
• Compile monthly compliance report
• Liaise with regulators as required
• Compile control checklist and carry out compliance audits on all Everdon BDC units
• Prepare control reports
• Execute regulatory returns to CBN
• Execute periodic review of policies and present to Head of department
• Address staff concerns or questions on compliance issues
• Stay abreast of, research and advise on relevant regulatory matters
• Other duties as directed by Head, Control and Compliance

General Business:

• Ensure strict adherence to operations manual procedures and company policies
• Ensure Control and Compliance department is presented to the highest possible standard
• Communicate company information effectively; cascade relevant information
• Ensure that all information is made available whenever requested
• Identify and plan areas for personal development

Communication And Reporting:

• To liaise with all relevant departments
• To report to the head regularly on Control and Compliance issues at meetings and at other times. Issues raised/discussed at departmental meetings and other meetings must be reported
• To provide such information to the head of unit as required in order to assess the performance of the department and achievement of agreed strategy

Key Performance Indicators

• To liaise with all relevant departments
• To report to the head regularly on Control and Compliance issues at meetings and at other times. Issues raised/discussed at departmental meetings and other meetings must be reported
• To provide such information to the head of unit as required in order to assess the performance of the department and achievement of agreed strategy

Essential Knowledge/Skills/Experience

• BSc/MSc degree in Finance, Accounting, Law or a related field.
• 3-4 years’ experience with responsibilities like those of this role
• Previous experience in Financial Services and General knowledge of Financial Markets
• Good time management skills and the ability to prioritise;
• The ability to work as part of a team and to build strong working relationships;
• Outstanding interpersonal and influencing skills; a good team player;
• Strong communication skills; written and verbal
• Thorough understanding of compliance risk and issues and their management
• Proven competence in Control and Compliance Management
• Ability to prioritize projects and identify internal and external resources necessary to reach objectives
• Ability lead others in formulating and articulating key strategic objectives internally and externally
• Ability to see big picture and handle the detail of the role
• Excellent change management and negotiation skills
• Excellent organisational and project management skill
• Strong analytical and problem-solving skills
• Strong Attention to details
• Qualifications and membership in relevant professional body is an added advantage.