Cluster Compliance Officers at Providus Bank

Job Summary

To ensure compliance with all regulations governing banking operations, including but not limited to regulatory guidance, policies, and procedures, by analysing risk and reviewing compliance issues/concerns within the branch/cluster and supporting the maintenance of a robust control environment across the bank.

Responsibilities

• Daily reviews of branches activities (Customer onboarding and Transaction processing) to ascertain the level of Compliance with all applicable regulations and AML/CFT programs at the branch/cluster level.
• Daily Risk-based review of newly opened accounts for complete of account opening documentation and adequacy of customers’ information.
• Daily liaison with branches and resolution of compliance and AML/CFT issues in the branches, to raise the visibility of compliance and manages ad hoc compliance related projects as required.
• Carry out monthly review of regulatory notices in branches and drive regularization of the regularization of exceptions noted.
• Conducts monthly training on AML/CFT and/or other compliance related areas across the bank/branches.
• Tracks all cases of compliance breaches in branches, evaluates implications on the bank’s business and prepares Monthly report for the Chief Compliance Officer and management on the Bank’s level of compliance with laws and regulations.
• Identifies potential areas of compliance vulnerability and risk through monthly and quarterly analysis and assessment, proposes corrective action plans for problematic issues and provides guidance on resolution and future prevention and/or mitigation..
• Daily review of the level of Compliance with regulatory requirement on Customer profiling/Risk rating and advise Enhanced Due diligence for high-risk customers.
• Daily review of the rate of Compliance with regulation and best practice on watchlist and PEPs screening at the time of customer onboarding
• Prepare Compliance awareness memo for monthly sensitization of staff on Compliance and AML/CFT issues and liaise with corporate communication for publication of the memo.
• Identify training needs, assist in developing and presenting compliance training sessions for all staff in line with regulation.
• Weekly reviews and reports on all forms of compliance breaches to the Chief Compliance Officer 

Requirements

• Minimum of bachelor’s degree
• At least 5 years banking experience in compliance, internal control & operations
• Professional Compliance Certification (CAMS, CRCMP AND DCP) preferred.
• Knowledge and use of technology-based tools for controls and data security compliance
• Knowledge of Internal Audit, Internal control, and compliance
• Regulatory liaison and regulator audit management
• Attention to details.
• Problem solving
• Understanding of risk & regulatory requirements

go to method of application »

Job Summary

To ensure compliance with all regulations governing banking operations, including but not limited to regulatory guidance, policies, and procedures, by analysing risk and reviewing compliance issues/concerns within the branch/cluster and supporting the maintenance of a robust control environment across the bank.

Responsibilities

• Daily reviews of branches activities (Customer onboarding and Transaction processing) to ascertain the level of Compliance with all applicable regulations and AML/CFT programs at the branch/cluster level.
• Daily Risk-based review of newly opened accounts for complete of account opening documentation and adequacy of customers’ information.
• Daily liaison with branches and resolution of compliance and AML/CFT issues in the branches, to raise the visibility of compliance and manages ad hoc compliance related projects as required.
• Carry out monthly review of regulatory notices in branches and drive regularization of the regularization of exceptions noted.
• Conducts monthly training on AML/CFT and/or other compliance related areas across the bank/branches.
• Tracks all cases of compliance breaches in branches, evaluates implications on the bank’s business and prepares Monthly report for the Chief Compliance Officer and management on the Bank’s level of compliance with laws and regulations.
• Identifies potential areas of compliance vulnerability and risk through monthly and quarterly analysis and assessment, proposes corrective action plans for problematic issues and provides guidance on resolution and future prevention and/or mitigation..
• Daily review of the level of Compliance with regulatory requirement on Customer profiling/Risk rating and advise Enhanced Due diligence for high-risk customers.
• Daily review of the rate of Compliance with regulation and best practice on watchlist and PEPs screening at the time of customer onboarding
• Prepare Compliance awareness memo for monthly sensitization of staff on Compliance and AML/CFT issues and liaise with corporate communication for publication of the memo.
• Identify training needs, assist in developing and presenting compliance training sessions for all staff in line with regulation.
• Weekly reviews and reports on all forms of compliance breaches to the Chief Compliance Officer 

Requirements

• Minimum of bachelor’s degree
• At least 5 years banking experience in compliance, internal control & operations
• Professional Compliance Certification (CAMS, CRCMP AND DCP) preferred.
• Knowledge and use of technology-based tools for controls and data security compliance
• Knowledge of Internal Audit, Internal control, and compliance
• Regulatory liaison and regulator audit management
• Attention to details.
• Problem solving
• Understanding of risk & regulatory requirements

go to method of application »

Job Summary

To ensure compliance with all regulations governing banking operations, including but not limited to regulatory guidance, policies, and procedures, by analysing risk and reviewing compliance issues/concerns within the branch/cluster and supporting the maintenance of a robust control environment across the bank.

Responsibilities

• Daily reviews of branches activities (Customer onboarding and Transaction processing) to ascertain the level of Compliance with all applicable regulations and AML/CFT programs at the branch/cluster level.
• Daily Risk-based review of newly opened accounts for complete of account opening documentation and adequacy of customers’ information.
• Daily liaison with branches and resolution of compliance and AML/CFT issues in the branches, to raise the visibility of compliance and manages ad hoc compliance related projects as required.
• Carry out monthly review of regulatory notices in branches and drive regularization of the regularization of exceptions noted.
• Conducts monthly training on AML/CFT and/or other compliance related areas across the bank/branches.
• Tracks all cases of compliance breaches in branches, evaluates implications on the bank’s business and prepares Monthly report for the Chief Compliance Officer and management on the Bank’s level of compliance with laws and regulations.
• Identifies potential areas of compliance vulnerability and risk through monthly and quarterly analysis and assessment, proposes corrective action plans for problematic issues and provides guidance on resolution and future prevention and/or mitigation..
• Daily review of the level of Compliance with regulatory requirement on Customer profiling/Risk rating and advise Enhanced Due diligence for high-risk customers.
• Daily review of the rate of Compliance with regulation and best practice on watchlist and PEPs screening at the time of customer onboarding
• Prepare Compliance awareness memo for monthly sensitization of staff on Compliance and AML/CFT issues and liaise with corporate communication for publication of the memo.
• Identify training needs, assist in developing and presenting compliance training sessions for all staff in line with regulation.
• Weekly reviews and reports on all forms of compliance breaches to the Chief Compliance Officer 

Requirements

• Minimum of bachelor’s degree
• At least 5 years banking experience in compliance, internal control & operations
• Professional Compliance Certification (CAMS, CRCMP AND DCP) preferred.
• Knowledge and use of technology-based tools for controls and data security compliance
• Knowledge of Internal Audit, Internal control, and compliance
• Regulatory liaison and regulator audit management
• Attention to details.
• Problem solving
• Understanding of risk & regulatory requirements

go to method of application »

Job Summary

To ensure compliance with all regulations governing banking operations, including but not limited to regulatory guidance, policies, and procedures, by analysing risk and reviewing compliance issues/concerns within the branch/cluster and supporting the maintenance of a robust control environment across the bank.

Responsibilities

• Daily reviews of branches activities (Customer onboarding and Transaction processing) to ascertain the level of Compliance with all applicable regulations and AML/CFT programs at the branch/cluster level.
• Daily Risk-based review of newly opened accounts for complete of account opening documentation and adequacy of customers’ information.
• Daily liaison with branches and resolution of compliance and AML/CFT issues in the branches, to raise the visibility of compliance and manages ad hoc compliance related projects as required.
• Carry out monthly review of regulatory notices in branches and drive regularization of the regularization of exceptions noted.
• Conducts monthly training on AML/CFT and/or other compliance related areas across the bank/branches.
• Tracks all cases of compliance breaches in branches, evaluates implications on the bank’s business and prepares Monthly report for the Chief Compliance Officer and management on the Bank’s level of compliance with laws and regulations.
• Identifies potential areas of compliance vulnerability and risk through monthly and quarterly analysis and assessment, proposes corrective action plans for problematic issues and provides guidance on resolution and future prevention and/or mitigation..
• Daily review of the level of Compliance with regulatory requirement on Customer profiling/Risk rating and advise Enhanced Due diligence for high-risk customers.
• Daily review of the rate of Compliance with regulation and best practice on watchlist and PEPs screening at the time of customer onboarding
• Prepare Compliance awareness memo for monthly sensitization of staff on Compliance and AML/CFT issues and liaise with corporate communication for publication of the memo.
• Identify training needs, assist in developing and presenting compliance training sessions for all staff in line with regulation.
• Weekly reviews and reports on all forms of compliance breaches to the Chief Compliance Officer 

Requirements

• Minimum of bachelor’s degree
• At least 5 years banking experience in compliance, internal control & operations
• Professional Compliance Certification (CAMS, CRCMP AND DCP) preferred.
• Knowledge and use of technology-based tools for controls and data security compliance
• Knowledge of Internal Audit, Internal control, and compliance
• Regulatory liaison and regulator audit management
• Attention to details.
• Problem solving
• Understanding of risk & regulatory requirements