Established in 1994 as an asset management firm, ARM offers wealth creation opportunities through a unique blend of traditional asset management and alternative investment services. We enable businesses to thrive, and help our clients to maximize their returns and realise their most important goals. For over two decades, we have built a firm uniquely equipped to achieve these objectives and our reputation for quality research, investment expertise and value-added services has endeared us to clients both locally and internationally. Throughout our history, we have strategically positioned ourselves to take advantage of growth opportunities within Africa and major international markets on behalf of our clients.
Position Title: Compliance Officer
- Responsible for providing support to the Head, Compliance in ensuring compliance with the company’s operational guidelines for both internal and external operations.
Duties and Responsibilities
- Regulatory Liaison: Responding to correspondences and inquiries from regulatory authorities, and government agencies, as well as proactively liaising with them to resolve all Compliance-related issues.
- Rendition of Returns: Rendition of quarterly returns to SEC and provision of information for half yearly returns to client companies.
- Compliance Monitoring: Support the implementation, continuous improvement and monitoring of AML (Anti-Money Laundering) and CFT (Counter-Terrorism Financing) programmes across the organizations.
- Threat Assessment: Identify potential areas of compliance vulnerability and risk, as well as drive development and implementation of corrective action plans for the resolution of problematic issues.
- Exception Management: Provide support to the team by following up with relevant parties in resolving exceptions raised in Regulators’ audits.
- Stakeholder Management: Proactively seek to build mutually beneficial, and trusting relationships with both internal stakeholders (subsidiaries and shared service functions), and external stakeholders (i.e. regulators), with the aim of delivering operational impact.
Recommended Key Performance Indicators (KPIs)
- As defined by Supervisor.
- Achievement (BHR001 – Level 2/4)
- Analytical Thinking (BHR002 – Level 2/4)
- Customer Service Orientation (BHR003 – Level 2/4)
- Entrepreneurship (BHR004 – Level 2/4)
- Flexibility (BHR005 – Level 1/4)
- Holding People Accountable (BHR006 – Level 2/4)
- Intercultural Competence (BHR007 – Level 2/4)
- Leading and Developing Others (BHR008 – Level 1/4)
- Professional Confidence (BHR009 – Level 1/4)
- Relationship Building for Influence (BHR010 – Level 2/4)
- Self-Awareness (BHR011 – Level 2/4)
- Team Working (BHR012 – Level 2/4)
- Working Strategically (BHR013 – Level 2/4)
- Communicating Effectively (BHR014 – Level 2/4)
- Strategy (GMT006 – Level 1/4)
- Market and Regulatory Environment (SSP006 – Level 2/4)
- Business Acumen (SSP008 – Level 2/4)
- B.sc Degree from an accredited university (preferably in Finance or Law)
- Minimum of 6 years of work experience (with a minimum of 4 in Compliance role).
Application Deadline: Not specified