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

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.