Compliance and Control Officer – Asset Management

About the role

As a Compliance and Control Officer you will support end‑to‑end compliance functions, regulatory reporting and policy implementation for an asset‑management business. You will work closely with internal units and external regulators to ensure the company meets all applicable legal and regulatory requirements.

Key responsibilities

• Liaise with regulatory agencies on compliance‑related matters on behalf of the company.
• Monitor cases of non‑compliance, escalate unresolved issues and partner with responsible units to achieve timely remediation.
• Identify, review and evaluate new laws and regulations, keeping abreast of legislative developments locally and globally that may impact the business.
• Support the review of management and financial information systems, including electronic information systems.
• Collaborate with Risk Management, Audit and FINCON to verify the accuracy and reliability of accounting records and financial reports.
• Assist in ensuring transactions are processed in line with mandates and approved policies.

Required profile

• Minimum four (4) years of experience as a Compliance and Control Officer in the financial services industry, preferably within asset management.
• First‑degree qualification in a relevant field.
• SEC sponsorship is an added advantage.

Required skills