Compliance Officer - Asset Management
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.
The Compliance Officer’s
job deals with any day-to-day compliance issues that arise during financial
transactions, trading, Investment or the handling of client accounts and funds.
This officer must ensure the business and its employees understand and abide by
internal and regulatory procedures.
The individual with be
part of the Risk and Compliance team; working within the shared services
structure of CIC Insurance Group. The role will assist in compliance in the
Insurance Related business but will have a substantive role in the Fund
Management and Pension Compliance within the team.
Skill Set
- Ensure
that all Fund Management portfolios managed by the business comply with
Capital Markets Authority Guidelines.
- 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 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
Academic Qualifications
- University
Degree in law, Finance or Business
Professional
Qualification
- CISA/CISI/CRM,CISM,
Progress in CPA
Experience
- Up
to 3 years of 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
How to Apply
February 2, 2023
N/B: This job advert is
open to both internal and external candidates.
