About this role
We are seeking a responsible and detail-oriented Compliance Officer (Manager Level) to lead our independent compliance function as a licensed Primary Dealer, ensuring compliance with CBSL Directions and all applicable statutory and regulatory requirements including AML/CFT.
Key Responsibilities
- Lead an independent compliance function with direct access to the Board, maintaining the Compliance Charter, Manual and policies in line with CBSL Directions for Primary Dealers.
- Act as primary liaison with CBSL, SEC, CSE and the FIU, including examinations, approvals and timely submission of regulatory returns.
- Monitor compliance with Primary Dealer obligations, prudential requirements and market conduct rules, including auction integrity, conflicts of interest and personal account dealing.
- Oversee corporate governance compliance, including Board composition, fit and proper requirements and related-party transactions.
- Run a risk-based compliance monitoring programme, track regulatory findings to closure and report to senior management and the Board.
- Manage the AML/CFT programme under the FTRA, covering KYC/CDD, sanctions screening, transaction monitoring and STR reporting.
- Drive a strong compliance culture through regular training for dealers and client-facing staff.
Candidate Profile:
- Degree in Law, Finance or Accounting, plus a professional qualification (CIMA, CA or ACCA)
- 7 years in compliance within banking, primary dealing or capital markets, with 3+ years in a senior role
- Sound knowledge of CBSL Primary Dealer Directions, corporate governance and AML/CFT (FTRA)
- Experience working with CBSL, SEC, CSE and the FIU
- Strong integrity, independence and communication skills, with the confidence to engage the Board