Job Purpose
To support the CEO to discharge their responsibilities relating to the compliance risk management process as required by relevant regulatory requirements, global best practice, applicable codes of conduct and minimum standards (particularly in relation to Anti-Bribery and Corruption compliance)
Assist line management and other members of staff by providing advice to guide in discharging their responsibilities to ensure compliance with all statutory, regulatory and internal policy requirements in order to:
Protect the reputation of the Company;
Avoid the institution of legal action against the Company;
Promote a good working relationship with supervisors/regulators;
Ensure good housekeeping practices; and
Enable the Company demonstrate to regulatory authorities and other stakeholders that it is “fit and proper” to undertake its business.
To develop and maintain a thorough understanding of the relevant regulatory requirements and policies applicable to the Company, thereby facilitating the establishment of a compliance culture.
To guide all members of staff to act with integrity, diligence, and in an ethical manner in dealing with all clients.
To develop and build relationships with key stakeholders within the Company
Key Responsibilities Compliance Programme:
Leveraging external legal counsel as necessary, develop and implement
Policies and procedures designed to facilitate the company’s compliance with applicable legal and regulatory obligations (“Policy Framework”).
A training programme including regular (e.g. annual) and new-starter training on the company’s policies, and ad hoc training on relevant legal and/or regulatory developments (“Training Programme”).
A regular monitoring programme, designed to test management and staff compliance with the Policy Framework and providing for regular written reports to the board (“Monitoring Programme”), Collectively the “Compliance Programme”.
Regulatory Understanding:
Monitor legal and regulatory developments relevant to the company’s business activities, leveraging external legal or industry sources as needed.
Analyse the relationship between the company’s activities and such developments, and identify amendments to the Compliance Programme necessary to facilitate compliance by the company.
Brief the board of relevant developments and recommend changes to the Compliance Programme necessary to facilitate compliance by the company with such developments.
Training:
Deliver, or arrange for delivery of, the Training Programme, monitor attendance and report to the board regarding same.
Testing & Reporting:
Monitor conduct of management and staff with respect to the requirements of Policy Framework, and provide written reports to the board regarding the same, in accordance with the Monitoring Programme.
Prepare reports required per the Audit & Risk Committee Charter, Shareholders Agreement or as requested by the board or CEO on an ad hoc basis
Advisory:
Provide management and staff with guidance on the Compliance Programme, including in relation to new business, products, initiatives and projects.
Culture & Reputation:
Support the company in developing and maintaining a positive reputation through the Compliance Framework, including by emphasizing the importance of compliance with applicable laws and regulation and acting with integrity.
In conjunction with management, establish and promote a culture of compliance and integrity, including through the Compliance Programme.
Internal & External Relationships Internal:
Board of Directors
Executive Management
Employees
External:
Regulatory Authorities
Required Skills, Qualifications and Experience Educational Qualifications:
Degree in a relevant field including Law, Economics, Accounting, Business Management or qualification as a Chartered Secretary.
Master’s degree and/or relevant professional qualifications would be anadded advantage
Technical Skills:
Demonstrable understanding of key regulatory risks, including ABC regulations.
Strong understanding of compliance and risk management processes, governance and escalation
Experienced in compliance policy framework design and implementation
Experienced in preparing and delivering training
Experienced in working in co-operation with legal advisors and senior internal stakeholders
Strong research, verbal and written communication skills
Quick and analytical thinker, able to find practical solutions in line with regulatory/supervisory requirements
Proficient in written and spoken English
Excellent use of MS Word and MS Excel
Work Experience:
Minimum 5 years of experience in Compliance or Internal Audit in a bank or a non-bank financial institution, regulated corporate (e.g. telco) or a consultancy firm specialized in Compliance / Internal Audit.
Personal Skills:
Integrity
Being proactive
Result oriented
Team player
Self-motivated
Ability to work with minimal supervision
Strong analytical and numerical skills
Excellent communication skills
Strong interpersonal and leadership skills
Consensus builder
Discrete with information
Creative and innovative
Good emotional intelligence skills
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