Compliance Manager

General Summary:

Manage the organization's compliance framework, ensuring adherence to all applicable laws, regulations, and internal policies.

Principal Duties and Responsibilities:

Manage the compliance reporting process, ensuring timely submission of reports to regulators and internal stakeholders.Develop, implement, and maintain the organization's compliance framework, policies, and procedures in alignment with regulatory requirements and best practices.Conduct periodic compliance risk assessments and develop mitigation plans to address identified risks.Oversee the organization's compliance monitoring program to ensure effective implementation of controls and timely remediation of compliance issues.Provide guidance and advice to management and employees on compliance-related matters and ethical business conduct.Coordinate with internal stakeholders to ensure new products, services, and initiatives comply with regulatory and internal requirements.Develop and deliver compliance training programs to enhance employee awareness of regulatory obligations and company policies.Continuously review and enhance compliance tools, systems, and methodologies to improve efficiency and accuracy.

Key Accountabilities:

Manage and control the unit's projects to ensure project cycle completion and commitment to the company's guidelines and quality.Guide, and assist employees by direct reports to perform their functional operations in accordance with set policies and procedures.Oversee and manage all the unit's staff to ensure that they are appropriately motivated and trained and carry out their responsibilities to the required standards.Set performance objectives, provide the necessary support, evaluate team(s), and offer regular feedback on performance.Comply with communication and information sharing/handling policy to ensure confidentiality of the information and comply with all relevant risk and information security procedures to ensure operating within the acceptable risk levels.Manage the development and implementation of the unit's policies, procedures, and processes covering all areas of the unit's activities to ensure the fulfillment of all work requirements. Ensure compliance with all relevant policies, procedures, and processes throughout the unit in order to achieve the company's operational excellence.

Job Requirements

Education and Certifications:

Bachelor Degree in Law, Accounting, Finance, Business Administration or similar is required.

Knowledge and Experience:

6 + years of experience in compliance or regulatory roles, preferably within financial markets, securities, or banking sectors