SEC Sponsored - Finance Controller at Trusoft Limited

• Job Summary
• The Head, Internal Control & Compliance, provides strategic leadership in ensuring full regulatory compliance, strong internal control systems, and effective risk management across Marathon Asset and Fund Management Ltd. The role oversees all compliance obligations to the SEC and other regulators, drives governance standards, ensures operational discipline, and safeguards the company’s integrity.
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Key Responsibilities

Regulatory Compliance

• Ensure strict compliance with SEC rules governing CMOs.
• Oversee accurate and timely filing of all regulatory returns and statutory reports.
• Monitor regulatory updates and ensure implementation across the business.
• Manage regulatory examinations, audits, and inspections to successful closure.
• Maintain compliance registers, disclosures, and compliance documentation.

Internal Control & Risk Management

• Design, review, and strengthen internal control systems across all departments.
• Conduct periodic reviews of operational, investment, and support functions.
• Identify control gaps, risks, and breaches, and drive corrective actions.
• Ensure segregation of duties, process documentation, and policy adherence.
• Lead investigations into irregularities, misconduct, or policy violations.

Monitoring, Reporting & Audit Coordination

• Conduct compliance monitoring, spot checks, and thematic reviews.
• Prepare and present compliance and control reports to Management and the Board.
• Track and ensure closure of internal and external audit recommendations.
• Approve compliance queries, KYC/AML documentation, and due diligence reports.

AML/CFT Oversight

• Ensure adherence to AML/CFT rules in line with SEC/NFIU requirements.
• Oversee onboarding verification, suspicious transaction monitoring, and reporting.
• Drive continuous staff training on AML/CFT obligations.

Leadership & Governance

• Lead the Internal Control & Compliance Department, providing direction and mentorship.
• Advise Management on compliance risks, control issues, and emerging regulatory trends.
• Maintain a strong culture of ethics, accountability, and regulatory discipline.

Qualifications

• Bachelor’s degree in Finance, Accounting, Business Administration, Economics, Law, or related field.
• SEC Sponsored Individual (Compliance) – mandatory.
• Professional certifications (ICAN, ACCA, CIS, CISA, CIA, CAMS, etc) are an added advantage.
• Minimum 7–10 years of experience in compliance, internal control, audit, or risk management within a CMO or financial institution.
• Proven leadership experience.

Key Competencies

• Regulatory expertise
• Internal control design
• Risk assessment
• AML/CFT compliance
• Analytical thinking
• Leadership
• Report writing
• Integrity
• Stakeholder management