Compliance Officer

Key Responsibilities:

• Regulatory Compliance:
  • Ensure adherence to all financial regulations and internal policies.
  • Monitor changes in relevant legislation and the regulatory environment.
  • Conduct regular compliance checks and audits to verify adherence to established protocols.
• Policy Development:
  • Contribute to the development and implementation of policies and procedures to meet compliance standards.
  • Review and update policies periodically to maintain their effectiveness and relevance.
• Risk Management:
  • Contribute to the identification of potential compliance vulnerabilities and risks.
  • Develop and implement corrective action plans for resolution of problematic issues.
  • Provide guidance on how to avoid or handle similar situations in the future.
• Training and Education:
  • Develop and deliver compliance training programs for employees.
  • Ensure all employees are educated on the latest regulations and processes.
• Reporting:
  • Prepare and present compliance reports to senior management and regulatory bodies as required.
  • Maintain documentation of compliance activities, including complaints received and investigation outcomes.
• Client Management:
  • Conduct due diligence and background checks on new clients.
  • Monitor ongoing client activities to ensure compliance with regulatory requirements.