ASSISTANT COMPLIANCE OFFICER

Qualifications & Competencies

Degree level qualification, or equivalent, ideally in Business, Finance, Law or Compliance and Risk Management;

Roles and Responsibilities

- Assist in the effective implementation of the Compliance -
Monitoring programme and undertake all aspects of monitoring activities;
- Track non-compliant findings with respective business unit function managers until resolved;
- Assist in monitoring the efficiency and consistency of compliance controls and assist with the enhancement of procedures and controls;
- Assist in actively managing the mitigation of compliance breaches;
- Assist in maintain appropriate written procedures to ensure compliance with applicable legislation, regulations and group policies, and to monitor adherence to such procedures;
- Assist with the preparation of training material and deliver training in compliance with regulatory obligations and business procedures;
- Assist in the preparation of compliance reports to management and various committees and governance structures within the group;
- Assist in the preparation of reports to regulatory authorities;
- Assist with monitoring changes in relevant legal requirements and other regulatory developments which may impact on the company and advise the - Directors on their implications;
Provide assistance to the Compliance team on the regulatory implications of new business areas and new products.
- Assist in providing advice to the business with respect to regulatory and KYC/AML related matters
- Assist in sample verification checks on KYC/AML related matters and reporting

Experience

1-2 years relevant work experience in Compliance is preferable;