Job Vacancy For Head, Legal and Compliance

A New Asset Management Firm in Ghana, a subsidiary of a reputable multinational Reinsurance Company, is seeking to fill the under-listed managerial position:- Head, Legal and Compliance

Job Summary

•   Conduct periodic internal reviews or audits to ensure that compliance procedures are followed
•   He/she shall undertake all regulatory and compliance tasks
•   Direct the internal investigation of compliance issues
•   Assess product, compliance or risks and develop risk management strategies
•   Identify compliance issues that require follow-up or investigation
•   File appropriate compliance reports with regulatory agencies
•   Review communications such as securities sales and advertisements to ensure there are no violations of standards or regulations


•   Understanding the regulatory landscape and its requirements and to adapt to emerging regulatory and compliance risks
•   Establishing and deploying a world class compliance procedure for the organization
•   Ensuring the completion and submission of monthly, quarterly, semiannual, and annual reports and other information required by the regulators
•   Liaising between all regulators and the firm
•   Ensuring that all compliance regulations are met and on time
•   Undertake training for personnel on compliance and regulatory requirements in their work operations
•   Assisting in developing new products in response to changing market and requirements from clients. This will include product development, regulatory compliance and training
•   Undertaking adhoc research on economic and sector development to educate the firm and the public
•   Maintaining and advancing of professional and technical knowledge by attending educational workshops, all regulator forums, benchmarking state-of-the-art practices and participating in professional societies

Qualification Required & Experience

•   Bachelor's degree or equivalent work experience
•   Must have working experience in investment management, financial services or industry-related compliance experience
•   3-5 years managerial position in a related field or similar
•   Working knowledge of investment management operations and advisory functions is required as is significant prior exposure to investment management operations and its related and regulations in a compliance-related function
•   Excellent interpersonal, communication and written skills
•   Proven ability to work with a wide range of stakeholders

Location: Accra

How To Apply For The Job

Interested and qualified persons should send their cover letters and CV to:-

Closing Date: 18 November, 2015