The company is licensed and regulated by the Securities & Exchange Commission & the National Pensions Regulatory Authority to provide the following services: assess 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 from 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 Board's 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 policies 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 field, 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 Accountant, 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 and
• Ability to maintain a high level of accuracy and confidentiality

Personal Traits

• Integrity
. Ability to analyze and interpret information quickly
• Good critical problem solving skills
• Proactive and reactive thinking
• Passion for details
• Perform well under pressure
• Capable of working alone or in a team environment and
• Good written and oral communication and interpersonal skills

Location: Accra

How To Apply For The Job

All application letters and CVs should be sent to:

rashrifiegogo@gmail.com

Closing Date: 10 November, 2017