Sanlam Investments East Africa (SIEA) -Senior Risk and Compliance Officer.

All jobs > Accounting, Finance and Audit > Sanlam Investments East Africa (SIEA) -Senior Risk and Compliance Officer.

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Role Responsibilities

  • Provide support to the Head of Risk and Compliance in the management of all aspects of Regulatory Compliance and Governance Programs including Core Compliance, Regulatory Compliance, Investment & Trading Compliance and Sales & Marketing Compliance.
  • Monitor risk and compliance issues and developments under applicable rules, laws, and regulations
  • to achieve compliance and to prevent and detect violations.
  • Assist the Head of Risk & Compliance to coordinate the internal risk and compliance reviews and monitoring activities, including SLA monitoring and periodic reviews of departments.
  • Support and deliver compliance training programs to ensure compliance with multiple regulatory bodies’ laws, regulations, reporting guidelines and policies.
  • Develop compliance dashboards and reports for senior management.
  • Proactively collaborate with other departments as needed to ensure compliance issues are addressed, investigated, and resolved.
  • Ensure regulatory filings are adequately completed and submitted within required deadlines.

Minimum Qualifications and Experience

  • A Bachelor’s degree in Finance, Economics, Commerce, Law or other relevant business study from a recognized university and a CFA, CFE, FRM, CISI or an equivalent certification.
  • At least 3 years’ experience in the financial services industry in a compliance function or equivalent experience.
  • Deep knowledge of the investment and capital market industry, preferably gained with an institutional investor, pension fund, financial institution, or capital market regulatory body.
  • Understanding of trading methodologies and strategies, as well as professional practice monitoring institutional and retail trading activities.
  • Practical experience in risk management.
  • Time management skills to meet a complex set of business demands and reporting requirements.
  • Team player consistently demonstrating a high level of professionalism, and integrity with an exemplary personal and business ethical code.
  • Possesses exceptional organizational skills and strong attention to detail.
  • Strong communication skills and fearless and tactful in handling crucial conversations.

Skills or Qualifications that Provide Added Advantage

  • Experience in Compliance and/or Risk Management at a Fund Management Firm
  • An appreciation of fiduciary duty, internal controls and potential conflicts of interests.

Method of Application

Interested and suitably qualified candidates should apply through this link https://forms.office.com/r/P8URPZLne9 and forward their CV in PDF format via email clearly quoting the job title in the subject area to recruitment@sanlameastafrica.com.




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