Regulatory Compliance Officer Wanted in a Reputable Company

The Candidate must possess strong knowledge of financial services and capital market regulations, well versed in local and international rules and regulations governing Corporate organizations and business operations. The candidate shall perform the following duties and responsibilities:

• Act as an independent review and evaluation body to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
• Responsible for developing, implementing and administering statutory policies and procedures to ensure that the Company is in compliance vyith all relevant laws and regulations.
• Assist Management to ensure internal resources, systems, procedures and controls are in place, documented and operating effectively in order to ensure compliance and mitigate any form of risk.
• Provide reports on a regular basis, and as directed or requested, to keep Executive Management informed of the operation and progress of compliance efforts.
• Identify potential areas of compliance vulnerability, develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or manage similar situations in the future.
• Establish and coordinate the risk-based Compliance Monitoring
• Plan to include relevant operational risk assessment, business specific compliance reviews, other functional compliance reviews, routine checks and approvals.
• Ensure proper reporting of violations or potential violations to duly authorized enforcement agencies as appropriate and/or required.
• Collaborate with internal departments/stakeholders as appropriate to obtain updates on regulatory changes that affect the various aspects of the Company's operations
• Provide guidance on proper application and interpretation of laws, requlotlons and policies applicable to our business.
• Ensure that the regulations, policies and requirements are clearly communicated to Management and staff members.
• Work with executive management to ensure that the Company consistently attains high levels of compliance with all relevant laws and requlotions as well as industry best practices.
• Assist in the development of an effective compliance culture by promoting- the benefits of ethical business conduct and benefits of compliance.
• Develops and periodically reviews and updates the Code of Conduct to ensure continuous relevance in providing guidance to Management and employees.

Qualifications

• Candidates should have 7 to 9 years experience in a financial services regulated environment in either compliance regulation, risk, audit or legal capacity.
• Preferred candidate must have a minimum of Bachelor's degree in Law or other related disciplines.
• Excellent verbal and written communications skills
• Must possess great inter personal relationship and sound presentation skills
• Strong team player and good organizational skills
• Detail oriented with quantitative and data managements skills
• Advanced Microsoft excel, power point and word skills
• Must have good knowledge of other job functions in the
• Company and the rules associated with them.
• Certification in Risk and Compliance Management will be added advantage.