Manager, Compliance, Finance

Lead the compliance function across finance, treasury and payment systems operations to ensure the Bank’s compliance with external market and regulatory requirements as well as internal policies and procedures

Compliance and Controls

• Formulate framework, policy, guidelines, and procedures to manage department’s compliance risk in line with the Bank’s risk tolerance/appetite.
• Advice stakeholders on relevant policies and regulations and act as contact point on compliance issues that may impact business activities within the department. 
• Ensure effective monitoring of controls strategy to ensure that all business activities, including project/initiative implementations within the department are executed in accordance with market and regulatory requirements, internal policies and procedures to protect the Bank’s interest at all time. 
• Ensure effective conduct of compliance risk assessments on business activities within the department and effectiveness of compliance controls to ensure robust and effective risk management while continuously supporting business deliverables. 
• Ensure effective performance of impact assessment on exceptions/incidents/issues identified and effectiveness of proposed process improvements to ensure effective business operations with no risk of re-occurrence.   
• Manage exceptions and periodic reporting to senior management and relevant stakeholders

Managing and Monitoring of Regulatory Requirements 

• Ensure effective monitoring of developments/changes in market and regulatory requirements, conduct of impact assessment and execution of change implementation to ensure the department’s adherence to compliance requirements. 
• Manage the ‘Know Your Customer’ and due diligence requirements from the nostro and custodian banks and to ensure the Bank complies with other markets’ requirements. 
• Ensure effective facilitation of annual independent assessment on security control requirements by the auditor/s for timely and accurate attestation by the Bank to meet SWIFT and RENTAS compliance requirements.

Treasury Fails Management

• Manage the investigation of treasury settlement issues and compensation cases to ensure that issues/cases are handled in line with internal guidelines and markets rules and standards to safeguard the Bank’s interest at all time.

Risk Management and Controls

• Inculcate and uphold the culture of risk and compliance to ensure strong internal controls and robust risk management. Ensure any irregularities and exceptions observed are escalated in timely manner.

Academic Qualifications: 

• Degree in Accounting, Finance or related disciplines. Professional qualifications (e.g., CPA, ACCA, CIMA, recognised risk/compliance certifications) and/or postgraduate qualifications are an advantage.

Experience: 

• Minimum 5 years of relevant experience in compliance, risk, audit, accounting or finance. Experience in compliance or risk role with exposure to treasury, SWIFT, RENTAS and finance operations is preferred