Compliance Manager at Spok Capital Limited

About the Job

• 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.

Requirements

• At least a Bachelor's Degree in Law, Finance, Accounting or any related course.
• Minimum of 3 years’ post call experience
• Experience and good knowledge in financial services industry such as assets management, investments, equity, banking etc. 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.