Compliance and Admin Officer at Spok Capital Limited

The Compliance Manager is responsible for overseeing and managing all aspects of regulatory and policies compliance within the organization. This role involves developing, implementing, and maintaining effective compliance programs to ensure adherence to relevant laws, regulations, policies, and industry standards.

Duties and Responsibilities:

• 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
  • Assist in the implementation and monitoring of the Enterprise Risk Management framework, tools, practices, and policies to identify, measure, report, monitor and manage enterprise risks.
  • 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
• 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
• Administration:
  • Manage general office administration. Organization of meetings and appointments
  • Organize office operations, procedures and company files for easy access for management and employees. 
  • Assist in onboarding process for new hires 
  • Work with legal and company secretary as may be regularly required 
• 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

Requirement:

• At least a bachelor's degree in law.
• Minimum 3 years’ post call experience 
• Experience and good knowledge in financial services industry such as assets management, investments, equity, banking will be an added advantage 
• Good knowledge of financial regulations and industry standards
• Ability to work in a team and independently.
• Good at building relationships. 
• Should be proficient in evaluating controls through established frameworks Excellent communication and interpersonal skills