Job Description
PURPOSE:
The role is responsible for the management of compliance, recordkeeping, monitoring, and analytical functions involved with regulatory compliance, anti-fraud, Anti Money Laundering (AML), and Counter Terrorist Financing (CTF) with a strong background in Fund management and pension Compliance.
PRIMARY RESPONSIBILITIES:
• Performing real time surveillance and support with a view to preventing misconduct, promoting ethical standards, and monitoring and advising on rules, within the overall objective of reducing risk to the business
• Develop an appropriate Compliance Management methodology and process to ensure compliance with all the set up regulations.
• Provide high quality Compliance advice to Business and Support functions on applicable internal policies, laws and regulations
• Ensure that all Fund Management portfolios managed by the business comply with Capital Markets Authority Guidelines.
• Ensure that the pension portfolio in CIC Life and CICAM are in full compliance with the Retirement Benefit Authority Guidelines.
• Provide advice regarding Anti-money laundering compliance especially; client due diligence, KYC standards, internal policies and local regulations
• Assist with the review of marketing materials and client presentations to ensure compliance with regulatory requirements and presentation of the same to regulators for approval
• Provide high level analysis on changes to regulations and provide support to the Business on implementation
• Carry out compliance monitoring and perform ad hoc investigations into matters or issues that are escalated to Compliance
• Prepare draft operational policies to assist in compliance with laws and regulation for management approval.
• Coordinate submission of regulatory returns
PERSON SPECIFICATIONS
Academic Qualifications
• Bachelor’s Degree in Business Related Field
Professional Qualifications
• CISA/CISI/CRM, CISM, Progress in CPA
Experience
• Up to three (3) years’ relevant experience
Skills and Attributes
• Team player adaptable to fast-paced and changing environment and eager to learn.
• Ability to manage tight processes, accuracy and attention to detail.
• Ability to dive into the details and develop greater understanding of the CIC Group wide compliance requirement.
• Highly disciplined person, self-motivated, and delivery focused.
• Excellent time management skills – Be able to organize and meet monthly, quarterly and annual deadlines for multiple regulators.