Catilas Resources Limited is an outsourcing and advisory services Company. Our focus is to help our clients leverage their core capabilities to optimize market opportunities.Summary
The Compliance Manager is responsible for overseeing and managing all aspects of regulatory and policies compliance within the organization.
This role involves developing, implementing, and maintaining effective compliance programs to ensure adherence to relevant laws, regulations, policies, and industry standards.
Duties and Responsibilities
Regulatory Compliance:
Stay abreast of changes in financial regulations and ensure that the organization is up to date with all relevant laws and industry guidelines
Interpret and communicate regulatory requirements to relevant departments within the organization
Collaborate with legal and regulatory affairs teams to address compliance issues and provide guidance on regulatory matters
Assist in the implementation and monitoring of the Enterprise Risk Management framework, tools, practices, and policies to identify, measure, report, monitor and manage enterprise risks.
Develop and update compliance policies and procedures to reflect changes in regulations and industry best practices
Implement policies across the organization, ensuring that employees are aware of and adhere to compliance requirements
Conduct regular training sessions to educate employees on compliance policies and procedures
Risk Assessment:
Conduct regular risk assessments to identify and evaluate potential compliance risks
Develop strategies to mitigate identified risks and ensure that appropriate controls are in place
Collaborate with other departments to integrate compliance considerations into business processes and systems
Monitoring and Reporting:
Establish and maintain a system for ongoing monitoring of compliance activities
Prepare and submit regular reports to senior management and regulatory bodies, summarizing compliance activities and addressing any identified issues
Ensure that internal reporting mechanisms are effective in capturing and escalating potential compliance breaches
Communication and Training:
Foster a culture of compliance through effective communication and training programs
Provide guidance and support to employees on compliance-related matters
Act as a point of contact for compliance-related inquiries from internal and external stakeholders
Profile
At least a Bachelor’s degree in a Financial, Banking, Law or Economics or related fields
Minimum 4 years’ in-depth experience with knowledge and understanding of risk management in investment management, private equity, or asset management environment.
In-depth knowledge of financial regulations and industry standards
Ability to work in a team and independently.
Good at building relationships.
Sensitivity for balancing risk management with business opportunities
Should be proficient in evaluating controls through established frameworks.
Excellent communication and interpersonal skills
Security Exchange Commission (SEC) Sponsored Individual would be advantageous, etc.