The Compliance Manager is responsible for overseeing and managing all aspects of regulatory and policies compliance within the organization. This role involves developing, implementing, and maintaining effective compliance programs to ensure adherence to relevant laws, regulations, policies, and industry standards.

Duties and Responsibilities:


Regulatory Compliance:

Stay abreast of changes in financial regulations and ensure that the organization is up to date with all relevant laws and industry guidelines
Interpret and communicate regulatory requirements to relevant departments within the organization
Collaborate with legal and regulatory affairs teams to address compliance issues and provide guidance on regulatory matters
Assist in the implementation and monitoring of the Enterprise Risk Management framework, tools, practices, and policies to identify, measure, report, monitor and manage enterprise risks.
Develop and update compliance policies and procedures to reflect changes in regulations and industry best practices
Implement policies across the organization, ensuring that employees are aware of and adhere to compliance requirements
Conduct regular training sessions to educate employees on compliance policies and procedures


Monitoring and Reporting:

Establish and maintain a system for ongoing monitoring of compliance activities
Prepare and submit regular reports to senior management and regulatory bodies, summarizing compliance activities and addressing any identified issues
Ensure that internal reporting mechanisms are effective in capturing and escalating potential compliance breaches


Administration:

Manage general office administration. Organization of meetings and appointments
Organize office operations, procedures and company files for easy access for management and employees. 
Assist in onboarding process for new hires 
Work with legal and company secretary as may be regularly required 


Communication and Training:

Foster a culture of compliance through effective communication and training programs
Provide guidance and support to employees on compliance-related matters
Act as a point of contact for compliance-related inquiries from internal and external stakeholders




Requirement:


At least a bachelor's degree in law.
Minimum 3 years’ post call experience 
Experience and good knowledge in financial services industry such as assets management, investments, equity, banking will be an added advantage 
Good knowledge of financial regulations and industry standards
Ability to work in a team and independently.
Good at building relationships. 
Should be proficient in evaluating controls through established frameworks Excellent communication and interpersonal skills