Role Purpose:
To oversee the execution and quality of regulatory compliance activities, including compliance horizon scanning & change management, regulatory obligations management, and issue remediation tracking. The role is responsible for reviewing outputs, ensuring consistency of application, and escalating risks and issues, while supporting delivery of an effective regulatory compliance framework.
Key Responsibilities:
Support the implementation and alignment of Regulatory Compliance and Conduct Programmes with applicable regulatory requirements, internal frameworks, and Group standards, ensuring effective execution within assigned business areas.
Drive the operationalization of Regulatory Compliance and Conduct frameworks across business units, ensuring consistent application and adherence to defined policies and procedures.
Monitor and track regulatory developments and changes, supporting impact assessments and coordinating with relevant stakeholders to ensure timely identification of implications to the Bank's operations.
Provide technical support on regulatory interpretation, reviewing regulatory change impact assessments and contributing to challenge and validation processes to ensure completeness and accuracy.
Maintain and enhance the Regulatory Obligations Register, ensuring completeness, accuracy, and appropriate mapping of regulatory requirements to controls in collaboration with business and functional stakeholders.
Identify, assess, escalate compliance breaches, policy exceptions, and risk tolerance breaches, ensuring issues are appropriately recorded, investigated, and tracked to closure.
Prepare and review responses to regulatory requests, inspections, and submissions, ensuring quality and completeness.
Support regulatory engagement activities, contributing to coordination efforts and maintaining effective working relationships with regulators and relevant external stakeholders.
Prepare compliance dashboards, management information (MI), and reports, highlighting key risks, trends, and issues for internal stakeholders.
Utilize and support enhancements to GRC systems and compliance tools, ensuring accurate data capture and improving reporting and monitoring capabilities.
Apply established methodologies, documentation standards, and templates, ensuring consistency and quality of outputs across the function.
Deliver or support training and awareness initiatives on Regulatory Compliance and Conduct topics, contributing to capability building across the organization.
Coordinate cross-functional Compliance and Conduct activities, ensuring effective information flow and collaboration across teams.
Support alignment between Compliance, Risk, and Business units, ensuring consistent application of regulatory requirements and internal policies.
Qualifications
Education and Experience:
Bachelor's degree in law, business, or a related field.
Professional certifications such as Certified Compliance & Ethics Professional (CCEP), ACAMs or equivalent.
5 - 8 years' experience in compliance, risk, or internal audit in the financial services sector
Experience in compliance monitoring, regulatory reporting, or obligations management
Exposure to financial services regulatory frameworks (e.g., CBK, FATF, Basel)
Key skills and Competencies:
Strong understanding of regulatory compliance processes and control frameworks
Ability to review, challenge, and validate compliance outputs
Good analytical and problem-solving capability
Strong stakeholder coordination and communication skills
Team supervision and quality assurance