Senior Compliance Officer

Purpose

Assist in maintaining a strong compliance framework for Investment Banking, Private Equity and Research through compliance monitoring, regulatory reporting, client due diligence, and policy and procedure governance.

Responsibilities

1. Assist in the implementation of an effective Compliance Monitoring programme, including periodic reviews, issue tracking, and follow-up on agreed corrective actions.
2. Assist with the client onboarding, risk assessments, due diligence and periodic review processes in accordance with applicable regulations and internal policies.
3. Ensure timely submission and completion of regulatory requirements and maintain all relevant registers required by the firm.
4. Provide day-to-day compliance advice to the business on transactions, wall-crossing, conflicts, research independence, market conduct, client communications, complaints, and escalation of potential breaches.
5. Monitor regulatory developments, assess their impact, and support the update and implementation of relevant policies, procedures, and controls.
6. Assist with internal audits, regulatory inquiries, regulatory inspections and ad hoc compliance requests.
7. Prepare compliance reports, findings, breach summaries, and management updates for review senior management.

Job requirements

1. Bachelor's degree in Business Administration, Business Management, or Finance. Professional compliance or AML certification is preferred, including certifications from ACAMS, ICA and/or other equivalent certification.
2. 5 – 7 years experience in Compliance within regulated financial institutions, preferably with exposure to capital markets, including investment banking, research, and/or private equity.
3. Strong knowledge of applicable Egyptian regulatory requirements, including FRA regulations, AML/CTF obligations, market conduct rules, conflict of interest management & corporate governance standards.
4. Strong analytical skills, able to interpret complex regulations and recommend practical solutions.
5. Good Microsoft Office skills (Word, Excel and PowerPoint).
6. Excellent communication skills (written, verbal and listening).
7. Detail oriented; ensure deliverables are always of a high quality.
8. Able to work under pressure.
9. Multi-tasker, with the ability to meet changing deadlines, and to prioritize and handle multiple projects.
10. Self-motivated and maintains a positive attitude.

Thank you for your interest in applying to EFG Holding. Due to the high volume of applications/interest, please note that we are only able to respond directly to applicants that are shortlisted for interviews.