Job Summary

The primary purpose of the job is to oversee the Compliance function by ensuring that the Company complies with Regulatory and Legal requirements.

Job Specifications

• Conduct AML/CFT Training to members of staff.
• Provide regulatory awareness through training of members of staff on regulatory provisions.
• Ensure effective Customer Due Diligence (CDD) processes are in place and that all KYC and account transactions meet the minimum regulatory CDD requirements.
• Ensure adherence to all account opening regulations issued by the Regulators from time to time.
• Ensure efficient identification and monitoring of currency transactions and suspicious activities.
• Ensure timely and efficient reporting of currency transactions (CTRs) and suspicious transaction reports (STRs) to the financial Intelligence centre (FIC).
• Develop policies and procedures to support the Compliance Department.
• Monitor the Business units with regards to compliance of laws and regulations through compliance reviews/audits.
• Work with the Business to remedy incidences of non- compliance.
• Prepare the Compliance Quarterly Board Submission.

Minimum Qualifications

• Full Grade 12 Certificate or its equivalent
• Bachelor of Law, Finance or similar equivalent qualification

Minimum Requirements

• Minimum of three (3) years’ relevant work experience in Regulatory Compliance
• Broad knowledge of the Finance Sector and Regulations governing the Sector
• The ability to assess risks, solve problems, interpret data, and communicate effectively
• Strong administrative skills
• Interpersonal skills and the ability to work well with people at all levels
• A diplomatic approach and the confidence to provide support and reports to Senior Management and Board Members
• Integrity and confidentiality when handling information
• Expert oral and written communication skills

• Conduct AML/CFT Training to members of staff.
• Provide regulatory awareness through training of members of staff on regulatory provisions.
• Ensure effective Customer Due Diligence (CDD) processes are in place and that all KYC and account transactions meet the minimum regulatory CDD requirements.
• Ensure adherence to all account opening regulations issued by the Regulators from time to time.
• Ensure efficient identification and monitoring of currency transactions and suspicious activities.
• Ensure timely and efficient reporting of currency transactions (CTRs) and suspicious transaction reports (STRs) to the financial Intelligence centre (FIC).
• Develop policies and procedures to support the Compliance Department.
• Monitor the Business units with regards to compliance of laws and regulations through compliance reviews/audits.
• Work with the Business to remedy incidences of non- compliance.
• Prepare the Compliance Quarterly Board Submission.

• The ability to assess risks, solve problems, interpret data, and communicate effectively
• Strong administrative skills
• Interpersonal skills and the ability to work well with people at all levels
• A diplomatic approach and the confidence to provide support and reports to Senior Management and Board Members
• Integrity and confidentiality when handling information
• Expert oral and written communication skills

• Full Grade 12 Certificate or its equivalent
• Bachelor of Law, Finance or similar equivalent qualification