Job Vacancy For Compliance Officer

A leading financial services group operating from Accra with operations in investment banking, securities trading and investment management, seeks to employ highly qualified professionals to fill the following position: Compliance Officer


• Assist in the management of the day-to-day operations of the group's compliance unit
• Ensure that the board of Directors management and employees operate in compliance with the regulations and rules of regulatory agencies such as the securities & exchange commission (SEC), the Ghana Stock Exchange (GSE), and the financial intelligence centre (FIC), National Pensions Regulatory Authority (NPRA) and the company policies and procedures are adhered to
• Assist in the development, maintenance and update of compliance policies and procedures to prevent illegal, unethical, or improper conduct
• Monitor new legal and regulatory developments and update internal policies and procedures accordingly
• Review, maintain and update required compliance and corporate files and produce scheduled regulatory filings for group companies, as mandated by the SEC, the GSE, the FIC, NPRA and other relevant regulators
• Perform related duties and projects as assigned by supervisor

Qualification Required & Experience

• A minimum of 2 years of work experience in a similar role or the legal field
• A minimum of a first degree in law or its equivalent from a reputable university
• A qualifying certificate in law from the Ghana School of Law and at least 1 year post-qualification experience

Specific Skills Requirements

• Knowledge in the securities industry law, PNDC Law 333, Securities industry Amendment Act, Act 590, Unit Trusts and Mutual Funds Regulatory and Legislative Policy & Procedures for the Financial Sector
• Knowledge in the Anti-Money Laundering Act, 2008 (Act 749) and industry guidelines on Anti-Money laundering and the combating of the financing of terrorism (AML/CFT).
• Ability to exhibit sound and accurate judgement
• Ability to multitask and meet deadlines

Location: Accra

How To Apply For The Job

Candidates must submit an application letter, curriculum vitae, copies of certificates, names, addresses and contact details of 3 referees.

Interested and qualified applicants should send their applications and indicate the positions being applied for to:

[email protected]

Closing Date: 20 March, 2019
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