Compliance Officer
A leading financial services group operating from Accra with operations
in investment banking, securities trading and investment management,
seeks to employ highly qualified professionals to fill the following
position: Compliance Officer
Duties
• Assist in the management of the day-to-day operations of the group's compliance unit
• Ensure that the board of Directors management and employees operate
in compliance with the regulations and rules of regulatory agencies such
as the securities & exchange commission (SEC), the Ghana Stock
Exchange (GSE), and the financial intelligence centre (FIC), National
Pensions Regulatory Authority (NPRA) and the company policies and
procedures are adhered to
• Assist in the development, maintenance
and update of compliance policies and procedures to prevent illegal,
unethical, or improper conduct
• Monitor new legal and regulatory developments and update internal policies and procedures accordingly
• Review, maintain and update required compliance and corporate files
and produce scheduled regulatory filings for group companies, as
mandated by the SEC, the GSE, the FIC, NPRA and other relevant
regulators
• Perform related duties and projects as assigned by supervisor
Required skills & Experience
• A minimum of 2 years of work experience in a similar role or the legal field
• A minimum of a first degree in law or its equivalent from a reputable university
• A qualifying certificate in law from the Ghana School of Law and at least 1 year post-qualification experience
Specific Skills Requirements
• Knowledge in the securities industry law, PNDC Law 333, Securities
industry Amendment Act, Act 590, Unit Trusts and Mutual Funds Regulatory
and Legislative Policy & Procedures for the Financial Sector
•
Knowledge in the Anti-Money Laundering Act, 2008 (Act 749) and industry
guidelines on Anti-Money laundering and the combating of the financing
of terrorism (AML/CFT).
• Ability to exhibit sound and accurate judgement
• Ability to multitask and meet deadlines
How to Apply
Candidates must submit an application letter, curriculum vitae, copies
of certificates, names, addresses and contact details of 3 referees.
Interested and qualified applicants should send their applications and indicate the positions being applied for to:
[email protected]
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