The company is licensed and regulated by the securities & exchange commission & the National Pensions regulatory authority to provide the following services: asset management, wealth management, pension funds management, investment advisory and investment research and publication

We run a client-focused, efficient and sustainable business model with strong business fundamentals and supported by the following core values: client focus, integrity, teamwork, and excellence. The company is inviting applications form suitably qualified persons, who are interested in the investment banking industry, to apply for the position of: Compliance Officer

Duties and Responsibilities

• Monitor the effectiveness of internal controls, in mitigating risk, ensuring compliance with regulatory requirements and implementing the boards strategy and policies
• Carry out checks and test to ensure operations are in accordance with relevant laws, regulations, directives and guidelines
• Ensure that all relevant persons are aware of the regulatory requirements, including employees and agents
• Formulate and or review polices and procedures
• Review and conduct inspections on clients records
• Review trading by directors, employees agents and clients
• Report any material breaches, any disciplinary action taken by the commission, the results of any inspections or investigations conducted by the commission and
• Report periodically on the adequacy of the internal controls

Qualification Required & Experience

• A minimum of first degree from an accredited tertiary institution in any of the following fields, Accounting, Banking and Finance, Economics or related field
• A member of any of the following professional bodies, institute of chartered accountants, association of chartered certified accountants or institute of internal auditors will be an added advantage
• Post qualification experience in the relevant position will be an added advantage
• Adequate knowledge and experience in relevant laws, regulations, standards and compliance issues relating to financial services industry
• Ability to maintain a high level of accuracy and confidentiality

Location: Accra

How To Apply For The Job

All application letters and CVs should be sent to:

recruitassetmgt@gmail.com

Closing Date: 24 May, 2018