Team Member, Regulatory Liaison at United Bank for Africa (UBA)

Resposnibilities
Build and Maintain Cordial Relationships with Law Enforcement Officers:

• Identify the relevant role players in accordance with business requirements and dependencies
• Build a trust relationship with Law Enforcement Officers
• Compile a database of major role players among the agencies
• Manage relationships in accordance with policies, procedures and legal requirements within the allocated time frames.

Response to Regulators’ Enquiries:

• Ensure to keep proper record of enquiries from Law Enforcement Agencies.
• Ensure that required information are collated and reviewed to be satisfactory
• Transmit such information and documents to the respective LEA.
• Guide staff in honouring LEA invitations and to give evidence on behalf of the bank in courts.

Prompt Rendition of Regulatory Returns:

• Obtain and collate reports and inputs from the various other departments and Units
• Review data/inputs obtained from other departments and Units.
• Ensure that the various reports are prepared and that they meet standard
• Ensure that the reports are transmitted to the respective Regulators.
• Ensure that the TAT is met in rendition of these reports.

Manage Financial Crimes Risks Such as Posed by Bank’s Customers:

• Identify such risks posed by high risk customers in their KYC documentation and other requirements.
• Ensure that complete documentations expected from the customers are obtained for high risk customers.
• Ensure that PEP customers are identified and rated high.

Facilitate in Compliance Training:

• Participate in training staff within the group.
• Ensure that staff abide by Group Policies and relevant laws as applicable.
• Carry out enhanced due diligence on high risk and high profile accounts.

Participate in transaction monitoring and FCY Transfer:

• Investigate and clear transactions identified against specified watch lists Ensure that due diligence are conducted on transfers to high risk countries
• Assist in management of Compliance Helpdesk
• Render advisory support to staff through Compliance Helpdesk.

Provide optimum support from a holistic compliance perspective:

• Provide support to Cluster Compliance Officers.
• Assist in the automation of Compliance Process Application.

Requirements

• Minimum of a University First Degree
• Experience in Operations, Internal Control or Audit & Compliance, External Auditing, Risk Management.