Industry: Banking, Finance & Insurance
Valid Until: 22nd February 2021
Company Name: A Reputable Company
Job Type: Full Time
Required Experience: 10 years
Education Level: MBA / MSc
Job Level: Senior level
· Manage the day-to-dayoperation of the Group’s Compliance requirements, and ensure that the Board ofDirectors, management and employees are in compliance with the rules andregulations of regulatory agencies such as the Securities & ExchangeCommission (SEC), the Ghana Stock Exchange (GSE), and the FinancialIntelligence Centre (FIC), and that company policies and procedures are beingfollowed.
· Develop, maintain, andupdate compliance policies and procedures to prevent illegal, unethical, orimproper conduct.
· Monitor new legal andregulatory developments and update policies and procedures accordingly.
· Review, maintain, andupdate required compliance and corporate files and produce scheduled regulatoryfilings for Group companies, as mandated by the SEC, the GSE, the FIC and otherapplicable regulators.
· Respond to regulatoryinquiries and third party examiners, and provide reports on a regular basis,and as directed or requested, to keep the Board and senior management informedof the operation and progress of compliance efforts.
· Review marketingmaterials and investor communications to ensure compliance with relevant lawsand regulations.
· Conduct appropriatesurveillance of business activities, including a review of investmentallocations and investment guidelines and restrictions, specifically as itrelates to the firm’s registered investment products.
· Work with the HumanResources Department to develop effective ongoing compliance training for allemployees and managers.
· Conduct due diligenceinvestigations into client activity, and analyse transactions and financialdata and investigate and detect possible money laundering activities.
· Report unusualtransactions that could relate to money laundering or terrorist financeactivities to regulators.
· Review services andbid agreements of the various subsidiaries and clients.
· Provide legal adviceon the management of mutual funds and unit trust.
· Provide internal auditfunction to the Group
· Special projects asnecessary.
Specific Skills Requirements
· Knowledge in theSecurities Industry Law, PNDC Law 333, Securities Industry Amendment Act, Act590, Unit Trusts and Mutual Funds Regulations, L.I 1695, relevant Regulatoryand Legislative Policy & Procedures for the Financial Sector.
· Knowledge in theAnti-Money Laundering Act, 2008 (Act 749) and industry guidelines on Anti-MoneyLaundering and the Combating of the Financing of Terrorism (AML/CFT).
· Ability to exhibitsound and accurate judgement.
· Ability to multitaskand meet deadlines.
Educational/CertificationRequirements and Work Experience
· A minimum of 10 years of investment banking andcapital markets experience.
· A minimum of a MBA/Mscin Finance/ Risk/ Investment from areputable university.
· Should have successfully completed the Ghana StockExchange (GSE) Securities Courses and passed the examinations at all levels.