Our client, an advisory and independent alternative wealth management firm seeks to recruit a smart and intelligent individual for the position of Risk Management and Compliance Officer.

The jobholder, who reports to the Board, shall partner the Company’s Management to provide continual risk assessment, development of comprehensive policies, procedures, compliance training, internal investigations, planning and implementation of risk management strategies and processes.

Key Responsibilities

• Develop the Enterprise Risk Management Policy for the Company
• Guide integration of enterprise risk management with other organizational planning and management activities
• Liaise with departmental heads in ensuring completion of quality departmental risk registers
• Identify training needs for risk management and oversee development of enterprise risk competence and awareness across the company
• Evaluate the adequacy of the company’s internal control framework in addressing risks and accomplishing the company’s goals and objectives
• Liaise with department and division heads on the adequacy of proposed actions in management of risk areas highlighted in internal audit reports
• Counterparty risk profiling and assessment to ascertain suitable or otherwise business relationships
• Monitor and report on compliance with regulatory requirements
• Proactively identify emerging risks and report to relevant stakeholders
• Develop risk management system and train departmental risk champions on implementation
• “Test” the effectiveness of cascading risk management approach to business decision making
• Regulatory liaison and filing of periodic reports/returns
• Monitor implementation of action plans to ensure risk mitigation efforts are proceeding as required
• Any other duty as may be assigned from time to time.

Skills & Experience

• Business process and control analysis
• Enterprise risk management
• Risk analysis
• Investigation
• Financial Reporting
• Compliance

Qualifications:

• Bachelor’s degree in Business Administration, Accountancy, Economics, Finance or any related field
• Relevant professional certification(s) e.g ACA, ACCA qualifications will be an added advantage
• 6-8 years combined audit work experience within the financial services sector with at least 2 years at a middle – senior level role
• Prior close working relationship interfacing with the Securities and Exchange Commission will be an added advantage
• Registration with SEC as a sponsored individual will be an added advantage