About The Team
The Compliance Officer is responsible for supporting the Regulatory Compliance Lead in managing and overseeing the institution's corporate governance framework and ensuring adherence to regulatory requirements. This role shall be responsible for corporate governance management, policy implementation, and compliance advisory. The Compliance Officer will also assist in regulatory compliance reviews and reporting.
Job Description
Corporate Governance Management:
Develop, implement, and maintain the corporate governance framework to ensure compliance with applicable laws, regulations, and best practices.
Monitor and evaluate the effectiveness of corporate governance policies and practices, making recommendations for improvements as necessary.
Ensure that the organization's corporate governance practices align with regulatory expectations and industry standards.
Policy Implementation And Management
Assist in the development, review, and implementation of corporate governance policies and procedures.
Ensure policies and procedures are effectively communicated and adhered to across the organization.
Provide guidance and support to management and staff on corporate governance matters.
Regulatory Compliance Reviews
Conduct regular reviews and assessments of regulatory compliance across various business units.
Identify potential compliance risks and recommend corrective actions to mitigate identified risks.
Support the development and implementation of compliance monitoring and gap assessment programs.
Compliance Advisory
Provide expert advice and guidance on regulatory compliance matters to management and staff.
Stay current with regulatory changes and updates, ensuring the organization's compliance programs reflect the latest requirements.
Assist in the preparation and submission of regulatory filings and reports.
Reporting
Prepare regular compliance reports to senior management and the board of directors.
Maintain accurate records of compliance activities, findings, and recommendations.
Support the documentation and communication of compliance related policies and procedures.
Requirements
- Bachelor's degree in Law, Business Administration, Finance, or a related field. Advanced degree or professional certification (e.g., CRCM, CGEIT) is preferred.
- Minimum of 5 years of experience in corporate governance and regulatory compliance within financial institutions.
- Strong knowledge of corporate governance principles, regulatory compliance requirements, and industry best practices.
- Excellent analytical, problem solving, and decision making skills.
- Effective communication and interpersonal skills.
- Ability to work independently and manage multiple tasks and deadlines in a fast paced environment.
- Detail oriented with a strong commitment to accuracy and compliance.
