Position Title: Compliance Officer
Department: Compliance
Key Accountabilities
- Support employees in understanding the financial services provided by the Company and clarify related processes when needed.
- Assist in maintaining and updating the compliance guide to ensure it reflects current legislation and aligns with internal control procedures.
- Participate in delivering awareness sessions and training activities to enhance employees’ understanding of applicable laws and regulations.
- Provide day-to-day guidance to employees on the proper interpretation and application of regulatory requirements.
- Maintain proper documentation of supervision activities in line with the compliance manual.
- Support in reviewing and investigating potential violations, document findings, and follow up on actions taken under the direction of management.
- Monitor transactions and activities to help identify and report any suspicious or potentially non-compliant behavior, including risks related to money laundering.
- Follow up to ensure required disclosures and reporting obligations are completed accurately and within the specified timelines.
- Assist in monitoring that licensing and accreditation requirements are continuously met by the Company and authorized individuals.
- Ensure customer identification (KYC) procedures are properly applied and maintained in accordance with regulatory requirements.
- Monitor that customer-related obligations are fulfilled in line with company policies and applicable regulations.
- Follow up on customer complaints, track actions taken, and maintain proper documentation of outcomes.
- Support in monitoring overall compliance with applicable laws and assist in preparing related reports.
- Follow up on updates in laws and regulations and assist in implementing required changes within the Company.
- Prepare regular and ad-hoc reports related to compliance activities as required.
- Perform any other duties assigned by the Line Manager or Company Management.
