Compliance Manager - SCA Certified
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Key skills for this role
About the Role
We are seeking an experienced Senior Compliance Manager to oversee the compliance function of a CMA-regulated financial institution.
Key Skills for This Role
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Role Overview
We are seeking an experienced Senior Compliance Manager to oversee the compliance function of a CMA-regulated financial institution.
The successful candidate will be responsible for ensuring compliance with all applicable CMA regulations, AML/CFT requirements, corporate governance standards, and internal policies while acting as the primary liaison with regulators.
Regulatory Compliance
- Ensure ongoing compliance with all applicable CMA rules, regulations, and licensing requirements.
- Monitor regulatory developments and advise management on regulatory implications.
- Lead regulatory reporting and submissions to the CMA.
- Manage regulatory inspections, audits, and inquiries.
- Serve as the key contact point with the CMA and other relevant authorities.
Compliance Monitoring & Risk Management
- Develop and implement the annual compliance monitoring plan.
- Conduct compliance reviews and risk assessments across business units.
- Identify compliance gaps and recommend corrective actions.
- Maintain compliance registers, breaches logs, and monitoring reports.
AML/CFT & Financial Crime
- Oversee AML/CFT and sanctions compliance programs.
- Ensure customer due diligence (CDD), enhanced due diligence (EDD), and transaction monitoring controls are effective.
- Support suspicious transaction reporting and regulatory obligations.
- Conduct periodic AML risk assessments.
Governance & Advisory
- Advise senior management on regulatory and compliance matters.
- Prepare compliance reports for executive management and the Board.
- Review new products, services, and business initiatives from a regulatory perspective.
- Ensure implementation of strong governance and control frameworks.
Policies & Training
- Develop and maintain compliance policies and procedures.
- Deliver compliance and AML training across the organization.
- Promote a strong culture of compliance and ethical conduct.
CISI – Combating Financial Crime
- CISI – Financial Rules and Regulations
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