Compliance and Control Officer at Norrenberger Financial Group

Job Summary

As Compliance and Control Officer, you will be responsible for supporting end-to-end compliance functions for the business, regulatory reporting while also making recommendations to the Compliance and Control Manager regarding interpretation and implementation of policies, procedures, and processes to address live and/or potential regulatory compliance issues.

Responsibilities

• Liaise with regulatory agencies on behalf of the company, on compliance related issues.
• Monitor cases of non-compliance, escalate any issues where non-compliance is not addressed and partner with the responsible unit to ensure timely and conclusive remediation.
• Identify, review and evaluate new laws and regulations and keep abreast of all legislative and regulatory developments both locally and globally that might have impact on the company.
• Support the review of the management and financial information systems and the electronic information system.
• Liaise with Risk Management, Audit and FINCON to review the accuracy and reliability of the accounting records and financial reports.
• Assist in ensuring transactions are processed in line with mandates and approved policies.

Requirements

• Minimum four (4) years' experience as a Compliance and Control Officer in the financial services industry (preferably in the Asset Management sector)
• First degree in a relevant field
• SEC Sponsorship is an added advantage.

Closing Date: 16th, September, 2023