RISK & COMPLIANCE OFFICER – STANBIC IBTC CAPITAL LIMITED
RISK & COMPLIANCE OFFICER – STANBIC IBTC CAPITAL LIMITED
JOB ID: 10819
LOCATION: Nigeria
DIVISION: Investment Banking
POSITION CATEGORY: Capital Markets
EMPLOYMENT TYPE: Full Time – Permanent
POSITION DESCRIPTION
JOB PURPOSE
• To support the CEO of Stanbic IBTC Capital (SICL) and the Stanbic IBTC Group Head, Compliance/Chief Compliance Officer to discharge their responsibilities relating to the compliance risk management process as required by relevant regulatory requirements, applicable codes of conduct and minimum standards
• Assist line management and other members of staff by providing advice to guide in discharging their responsibilities to ensure compliance with applicable statutory, regulatory and supervisory requirements in order to:
• Protect the reputation of SICL and the Group;
• Avoid the institution of legal action against SICL;
• Promote a good working relationship with supervisors/regulators;
• Ensure good housekeeping practices; and
• Enable SICL to demonstrate to regulatory authorities and other stakeholders that it is “fit and proper” to undertake its business.
• To maintain and develop a thorough understanding of the relevant regulatory requirements and policies applicable to SICL, thereby facilitating the establishment of a compliance culture.
• To guide all members of staff act with integrity, competence, diligence, respect and in an ethical manner in dealing with all clients.
KEY RESPONSIBILITIES REGULATORY UNIVERSE
• Responsible for the completion and maintenance of SICL’s Regulatory Universe and Policies
• Responsible for the development and maintenance of detailed Compliance Grid on relevant laws, regulations and policies.
• Provides gap analysis of updated regulations/legislations and policies.
Compliance Risk Management Plans (CRMPs)
• Responsible for the development and deployment of SICL’s Compliance Risk Management Plans (CRMPs).
• Ensures the appropriate use of compliance risk management tools within the business.
Advisory
• Analyses and identifies compliance risks and provides advice to management, relevant committees and the employees in order to effectively manage compliance issues.
• Provides assistance and advice on compliance issues in respect of new businesses, products and other initiatives such as projects.
• Completes the annual Compliance Self Assessment.
APPLY NOW
CLOSING DATE: Mar 28, 2013
Did you enjoy this post? Why not leave a comment below and continue the conversation, or subscribe to my feed and get articles like this delivered automatically to your feed reader.
Comments
No comments yet.
Leave a comment