JOB DESCRIPTION – CHIEF COMPLIANCE OFFICER / HEAD, COMPLIANCE & INTERNAL AUDIT

Job Description

Responsibilities

• Regulatory Compliance
• Internal Audit Responsibilities
• Risk Management & Internal Controls
• AML/CFT & KYC Compliance
• Investment & Portfolio Compliance
• Corporate Governance
• Policies & Procedures
• Compliance Monitoring & Testing
• Regulatory & External Audit Coordination
• Reporting

Requirements

• Must be SEC-registered/sponsored
• 4–5+ years compliance/audit experience in capital markets or financial services
• Minimum degree in Finance
• ICAN, CIS, ACCA or any other advanced degree (added advantage)
• Qualified candidates should send their CV to: career.capitalplus@gmail.com

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