1 month ago

Job Summary

SAS Finance Group comprises two companies: Strategic African Securities Limited (SAS) and SAS Investment Management Limited (SAS-IM). SAS is an integrated investment banking and financial advisory firm, founded in 1994 by a group of experienced professionals and business executives with commitment to providing quality financial services to private and public sectors in Ghana and other emerging markets. SAS has a broad range of experience in securities trading; corporate advisory, research as well as asset management. SAS-IM is an investment advisory firm licensed by the Securities and Exchange Commission (SEC). The firm provides diversified portfolio management services to high-net-worth individuals and institutions and offers mutual fund products and smaller investors.

  • Minimum Qualification:Degree
  • Experience Level:Mid level
  • Experience Length:3 years

Job Description/Requirements

Accountabilities:

  • Manage the day-to-day operation of the Group’s Compliance requirements, and ensure that the Board of Directors, management and employees are in compliance with the rules and regulations of regulatory agencies such as the Securities & Exchange Commission (SEC), the Ghana Stock Exchange (GSE), and the Financial Intelligence Centre (FIC), and that company policies and procedures are being followed.
  • Develop, maintain, and update compliance policies and procedures to prevent illegal, unethical, or improper conduct.
  • Monitor new legal and regulatory developments and update policies and procedures accordingly.
  • Review, maintain, and update required compliance and corporate files and produce scheduled regulatory filings for Group companies, as mandated by the SEC, the GSE, the FIC and other applicable regulators.
  • Respond to regulatory inquiries and third party examiners, and provide reports on a regular basis, and as directed or requested, to keep the Board and senior management informed of the operation and progress of compliance efforts.
  • Review marketing materials and investor communications to ensure compliance with relevant laws and regulations.
  • Conduct appropriate surveillance of business activities, including a review of investment allocations and investment guidelines and restrictions, specifically as it relates to the firm’s registered investment products.
  • Work with the Human Resources Department to develop effective ongoing compliance training for all employees and managers.
  • Conduct due diligence investigations into client activity, and analyze transactions and financial data and investigate and detect possible money laundering activities.
  • Report unusual transactions that could relate to money laundering or terrorist finance activities to regulators.
  • Review services and bid agreements of the various subsidiaries and clients.
  • Provide legal advice on the management of mutual funds and unit trust.
  • Provide internal audit function to the Group
  • Special projects as necessary.


Job Requirements:

Education:

  • A good first degree from any reputable University
  • Should have passed all the required Securities Courses of the Ghana Stock Exchange
  • Five years plus experience in the role of compliance


Technical:

  • Must be conversant with reports' due dates for all regulatory bodies
  • Must know which reports are due when and the consequences of not meeting the due date.
  • Knowledge about the Ghanaian Stock Market and Investment, Money Market, Pensions etc.
  • Excellent relationship management skills.


Personality:

  • Must be intelligent and analytical
  • Must be of high integrity and must have the ability to communicate with diverse personalities
  • Must have a true thirst for knowledge
  • Must have strong leadership skills
  • Able to cope with work, time and deadlines
  • Detail oriented in all aspects. Should pay attention to, be concerned with, and analyze details

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