Our Client In The Financial Services Sector Is Looking To Hire a Compliance Associate. The Compliance Associate Shall Play a Pivotal Role In Helping The Organisation Mitigate Risk And Ensure Adherence To Regulatory Standards. In This Role, The Successful Candidate Shall Report Directly To The Compliance Manager And Work Closely With Cross-Functional Teams. They Shall Monitor Business Processes, Perform Routine Audits, And Proactively Identify Potential Compliance Risks. The Compliance Associate Shall Also Assist In The Design And Implementation Of New Policies, Systems, Or Controls Aimed At Strengthening The Company’s Compliance Framework.
Duties And Responsibilities
Monitor Business Processes To Ensure Compliance With Internal Policies And External Regulations.
Conduct Routine Audits And Assessments To Identify, Document, And Report Potential Compliance Risks.
Assist In The Development And Implementation Of Policies, Systems, And Controls To Reduce Risk Exposure.
Educate And Train Employees On Regulatory, Legal, And Ethical Requirements To Foster a Culture Of Compliance.
Stay Up-To-Date With Regulatory Changes, Industry Standards, And Best Practices, And Advise Management Accordingly.
Prepare Compliance Reports And Maintain Accurate Records For Internal And External Stakeholders.
Collaborate With Other Departments To Ensure Operational Practices Align With Compliance Objectives.
Support Investigations Into Compliance Breaches And Recommend Corrective Actions.
Provide Guidance On Risk Management Strategies And Contribute To Continuous Improvement Initiatives.
Qualifications And Experience
Degree Holder (Minimum 2:1) In Management, Law, Finance, Or Related Discipline
At Least 3 Years Of Relevant Experience In Compliance, Risk Management, Or Audit, Plus a Recognised Professional Qualification (e.g., CIMA, ACCA, CISI, ICASA).
Master’s Degree In Finance Or Related Field Will Be Considered An Added Advantage.
Strong Knowledge Of Financial Services Regulations, Compliance Frameworks, And Risk Management Principles.
Computer Proficiency, Particularly In Microsoft Office Suite (Word, Excel, Powerpoint, Outlook) And Compliance-Related Software Tools.
Excellent Attention To Detail With Strong Analytical And Problem-Solving Abilities.
Critical Thinking Skills And The Ability To Make Sound Judgements Under Pressure.
Strong Communication And Interpersonal Skills, With The Ability To Train And Influence Employees At All Levels.
High Ethical Standards, Integrity, And Commitment To Maintaining Confidentiality.