Providing support and ensure the company is in compliance with applicable laws, regulations international best practices and internal policies.

JOB CONTEXT

Advise the Managing Director on how the activity of the company must comply with laws regulations guidelines of Securities and Exchange Commission (SEC) and international best practices

Key Responsibilities

• Provide advice on laws and regulations to the company and ensure its compliance with the related requirements
• Prevent unethical, illegal or improper conduct in the company
• File Suspicious and cash transaction report with FIC
• Ensure that Compliance reporting to Securities and Exchange Commission (SEC) or partners are sent in due time with the required information and quality
• Perform reviews planned in the Compliance Monitoring Plan and report to Management
• Advise business on specific compliance matters
• Preparation and completion of Compliance Activity Report (CAR) and Suspicious Transaction Report (STR)
• Completion of Board Compliance Committee Report
• Implement the Group Compliance Manual and adapt it to local risks and local regulatory requirements
• Report violations of rules, regulations, policies and guidelines to Head of Compliance
• Preparation of quarterly Compliance Officer’s Reports to SEC
• Preparation of Semi-annual AML/CFT/PFreturns to SEC
• Ensure submission of reports to SEC including monthly/quarterly cash flows and liquid funds
• Preparation of SEC Risk Management Questionnaire for SEC
• Ensure compliance with Securities and Exchange Commission Regulations L.I 1718
• Ensure appropriate Onboarding and KYC requirements are complied with before Investments are done Clients’ Accounts
• Ensure and review implementation of requirements related to new laws or regulations
• Report potential issues, new business and publications to Management
• Become a key stakeholder in key projects and development initiated by the company
• Ensure compliance with Data Protection rules
• Properly Handle all AML/CFT cases that occur
• Interact with people of other departments and communicate with them the issues related to compliance
• Recommend changes in Company policy to meet compliance regulations
• Ensure that SIRON (AML, Embargo, PEP) controls are performed and issues tackled with adequate measures
• Provide support to Compliance Head on all official tasks if required

JOB PROFILE

Experience & Qualifications

• A minimum of bachelor’s degree in business management, legal or related field
• Completed and passed the appropriate courses organized by the Ghana Investment and Securities Institute (GISI) or any other course recognized by the Commission.
• At 3 – 5 years in experience in financial services or banking
• Ability to communicate verbally and in writing at all levels
• In-depth knowledge of local and international regulatory requirements
• Ability to understand, interpret and adapt legal and regulatory requirements to the business
• Good communication and presentation skills

Skills, Capabilities & Personal Attributes

• Excellent interpersonal communication skills
• Result oriented and self-starting attitude
• Strong Communication skills
• Ability to Communicate with senior management
• Ability to communicate with local regulators
• Ability to pay attention to detail and capacity to identify business related risks and control weakness
• Willingness to learn, understand and monitor legal and regulatory requirements
• Willingness to undertake both formal and informal training as and when necessary to increase knowledge and develop abilities
• Ability to educate and train staff
• Demonstrate integrity and accountability