Required Knowledge, Skills, and Abilities
Compliance Management:
Maintain updated compliance across all subsidiaries and ensure timely client submissions.
Oversee compliance for every client instruction (new business, switches, withdrawals, transfers), including Record of Advice, Service Level Agreements, Letters of Introduction, Ultimate Beneficial Ownership information, and KYC documentation.
Monitor and address adherence to compliance processes and procedures.
Register KI�s, representatives, and FSPs with the FSCA via the external compliance officer.
Develop and implement compliance policies and procedures as required.
Ensure annual updates of all compliance documentation, declarations, and policies.
Attend quarterly compliance audits with external compliance officers and subsidiary leaders.
Ensure adherence to Continuous Professional Development (CPD) requirements.
Generate monthly compliance and risk reports for leadership.
Coordinate quarterly Compliance Committee meetings and follow through on action points.
Conduct organization-wide compliance training.
Monitor FIC GoAML and address issues in collaboration with subsidiaries.
Data & Systems Integrity:
Manage and maintain internal compliance databases with accurate, up-to-date information.
Ensure KYC documentation is collected and uploaded to the CRM.
Maintain consistency and accuracy across all systems.
Commission Management:
Oversee the monthly commission tracking process across all subsidiaries.
Report on group-wide commission and business metrics to management.
