Assistant Manager-Regulatory Compliance

Job Purpose

To assist in embedding Regulatory Compliance and Conduct frameworks across the Bank by supporting execution activities, maintaining compliance data and records, and contributing to reporting and coordination efforts in alignment with internal and regulatory expectations.

Key Responsibilities

• Support the implementation of Regulatory Compliance and Conduct Programmes by assisting in the execution of established frameworks, policies, and procedures within assigned areas.
• Assist in the application of Regulatory Compliance and Conduct frameworks across business units, ensuring adherence to defined processes and escalation of any deviations.
• Track and compile regulatory developments and updates, supporting the preparation of summaries and initial impact assessments.
• Provide support in interpreting regulatory requirements, assisting with documentation, analysis, and preparation of inputs for regulatory change impact assessments.
• Update and maintain the Regulatory Obligations Register, ensuring information is accurately captured, recorded, and kept current in line with guidance from senior team members.
• Log, track, and support the investigation of compliance breaches, policy exceptions, and risk tolerance breaches, ensuring proper documentation and timely escalation.
• Prepare responses and supporting documentation for regulatory requests, inspections, and submissions, for review and approval by Managers and Senior Managers.
• Support administrative and coordination aspects of regulatory engagement activities, including scheduling, documentation, and follow-ups.
• Compile data and assist in the preparation of compliance dashboards, management information (MI), and reports, ensuring accuracy and completeness of underlying data.
• Capture and maintain data within GRC systems and compliance tools, ensuring records are up to date and aligned with established standards.
• Follow established methodologies, templates, and documentation standards, ensuring consistency in outputs and adherence to compliance processes.
• Coordinate information gathering across teams to support Compliance and Conduct activities, ensuring timely submission of required inputs.
• Provide general support to ensure alignment between Compliance, Risk, and Business units, escalating issues or inconsistencies to senior team members as appropriate.

Qualifications

Education and Qualifications

• Bachelor’s degree
• Relevant professional qualifications such as CAMS, ICA is an added advantage

Experience

• Minimum 2 years’ experience in Compliance, Risk, Internal Audit, or Assurance in the financial services industry
• Exposure to financial services regulatory frameworks (e.g., CBK, FATF, Basel)

Key Competencies and Skills

• Good understanding of regulatory compliance processes and control frameworks
• Ability to prepare and validate compliance outputs
• Good analytical and problem-solving capability
• Good stakeholder coordination and communication skills