Risk and Compliance Manager at Catilas Resources Limited

Summary

• 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

Risk Assessment:

• Conduct regular risk assessments to identify and evaluate potential compliance risks
• Develop strategies to mitigate identified risks and ensure that appropriate controls are in place
• Collaborate with other departments to integrate compliance considerations into business processes and systems

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

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

Profile

• At least a Bachelor’s degree in a Financial, Banking, Law or Economics or related fields
• Minimum 4 years’ in-depth experience with knowledge and understanding of risk management in investment management, private equity, or asset management environment.
• In-depth knowledge of financial regulations and industry standards
• Ability to work in a team and independently.
• Good at building relationships.
• Sensitivity for balancing risk management with business opportunities
• Should be proficient in evaluating controls through established frameworks.
• Excellent communication and interpersonal skills
• Security Exchange Commission (SEC) Sponsored Individual would be advantageous, etc.