Graduate Trainee - Operations & Compliance Officer

• Acquire thorough understanding of Ghanaian capital market, investments and regulatory industry.
• Keenly adhere to the Company’s policies, Operational manual, AML-CFT Compliance regulations and any other regulatory compliance requirements.
• Cultivate and maintain strong relationship with Company’s clients and key stakeholders to drive sales and revenue.
• Facilitate client’s KYC onboarding and account opening process in accordance with regulatory requirements.
• Process client order mandates in line with Company policy and regulatory requirements.
• Record all client’s deposit and payments transaction in line with Company policy and regulatory requirements.
• Undertake clearing and settlement of executed transactions in accordance with Company policy and regulatory requirements.
• Ensure all clients and proprietary transactions records orderly filed and maintained.
• Periodically review and advise the management on the policies and procedures necessary to comply with the regulatory requirements to which the firm is subject.
• Ensure that all regulatory compliance reports are prepared and submitted to the regulatory authorities in a timely manner.
• Monitor the effectiveness of internal controls, in mitigating risk, ensuring compliance with Company policies and regulatory requirements.
• Ensure that all relevant persons are aware of the regulatory requirements including employees and agents of the firm.
• Perform the duties and responsibilities of Compliance officer and AML Reporting Officer as outlined in SEC Code of Business Guidelines.
• Assist with the resolution of external stakeholders’ enquiries/complaints and audits.
• Perform general office administrative duties and any other duties as required.

Requirements:

• A minimum of 2nd Class upper Bachelors degree in Business Administration, Accounting or Finance, Actuarial science, Mathematics or any other quantitative discipline is essential.
• A minimum of 2 - 3 years working experience in securities trading, financial services or investment management, accounting or finance, internal audit or compliance post national service will be an advantage.
• Prospective applicant must possess the Ghana Investments & Securities Institute (GISI), CGIA or any other professional qualification in finance or compliance.
• Proficient knowledge of Securities Industry Law 2016 (Act 929), SEC Conduct of Business Guidelines and SEC/FIC AML-CFT/PF Guidelines.
• Must have effective communication and written skills, interpersonal, analytical and problem-solving skills.
• Must be self-motivated and able to work independently under minimal supervision.
• Must have high integrity, maintain confidentiality of proprietary or client information. 
• Candidate should not be more than 30 years as at 7th October, 2024.

Note: Interested applicants must submit their CV and relevant academic certificates.