Compliance Officer

Key Responsibilities:

Regulatory Compliance

• Monitor and interpret all regulations issued by Securities and Exchange Commission (SEC), Bank of Ghana (BOG) (where applicable), Data Protection Commission (DPC), Financial Intelligence Centre (FIC), Ghana Revenue Authority (GRA), Social Security and National Insurance Trust (SSNIT) and the Ghana Stock Exchange (GSE).
• Always ensure regulatory compliance with the timely submission of all statutory and regulatory reports, filings, and disclosures.
• Maintain an in-depth understanding of the company’s license mandate and manage any regulatory inspections or audits.

AML/CFT & KYC

• Develop, implement, and update the company’s Anti-Money Laundering and Counter-Financing of Terrorism (AML/CFT) policies.
• Works with the Operations Department to ensure that all policies and procedures are being followed, with regards to customer due diligence (CDD), transaction monitoring, and suspicious activity reporting.
• Oversee the onboarding of clients (KYC), enhanced due diligence (EDD), for high-risk accounts, ongoing transaction monitoring and suspicious activity reporting.
• File Suspicious Transaction Reports (STRs) to the Financial Intelligence Centre (FIC) in accordance with Ghana’s AML Act (Act 1044).

Internal Controls & Audits

• Conduct periodic internal compliance reviews and risk assessments across trading, settlement, and customer management operations.
• Investigate any breaches, market misconduct (e.g., insider trading), or operational lapses, and recommend corrective actions.

Training & Advisory

• Train staff on regulatory updates, code of ethics, and AML procedures.
• Advise management on compliance risks related to new products and services.

Record Keeping & Reporting

• Maintain a comprehensive compliance register, including breach logs, training records, and correspondence with regulators.
• Prepare quarterly compliance reports for the Board of Directors.

Administration

• Coordinate internal and external resources to expedite workflow.
• Oversee and achieve organizational goals while upholding best practices.
• Order and oversee the optimal use of office equipment, supplies, and inventories through preventive maintenance.
• Provide administrative support to senior management, including email correspondence, meeting and events scheduling.

Qualifications & Requirements

• Bachelor’s degree in Arts, Law, Finance, Accounting, or Business Administration.
• A master’s degree or professional certification (e.g. Diploma in Governance, Risk Compliance, CAMS) is a strong advantage.
• Minimum 3 years of proven experience in a compliance, risk, or legal role within the Securities Industry in Ghana.
• Successful completion of the GISI or any other courses specified by the Securities and Exchange Commission.
• Ability to work independently and escalate issues appropriately. Applicant must have high ethical standards and integrity, strong analytical skills and detail oriented.

How to Apply:

Send CV (PDF), Cover letter, a copy of your GISI certificate, and other relevant certificates

Location: Accra

Salary: Attractive