Compliance and Control Officer at DCSL Corporate Services Limited

Job Requirements

• Bachelor’s degree in accounting, economics, or any related discipline.
• 2 - 3 years of experience in a compliance and control function or its equivalent.
• Relevant professional certification or membership in a compliance and control community is an added advantage.
• Good knowledge of Capital Market Operations.

Job Description

• Assist in the review and implementation of the Compliance program and Internal Control Framework.
• Ensure compliance with all AML/CFT/CPF rules by SCUML, NFIU & SEC.
• Ensure all statutory filings of NSITF, PENCOM, VAT, WHT, PAYE are done timely.
• Conduct ongoing Due Diligence on High-risk customers including PEPs.
• Ensure appropriate risk profiling of all new clients during onboarding and subsequent reviews.
• Assist with responding to regulatory enquiries.
• Implement control systems to prevent or deal with violations of legal and regulatory guidelines and internal policies.
• Collaborate with corporate counsels and HR department to monitor enforcement of standards and regulations.
• Work closely with department managers to review all departmental policies for compliance issues.
• Review the work of colleagues when necessary to identify compliance issues and provide advice or training.
• Keep abreast of regulatory developments within or outside of the company as well as evolving best practices in compliance and control.
• Prepare reports for senior management and external regulatory bodies as appropriate.