The Ugandan Jobline

• Render support in developing and implementing
  a risk-based compliance monitoring programme, identifying, assessing,
  monitoring and reporting all material compliance risks.
• Key responsibility for day to day monitoring
  and reporting of compliance risks.
• Primary responsibility for maintaining and
  monitoring compliance with key compliance policies.
• Ensure that compliance procedures, systems
  and controls are up-to-date and effective.
• Update and maintain the compliance manual,
  and all compliance procedure documentation.
• Regularly monitor and evaluate compliance
  with the risk management framework of the bank and generate periodic
  reports in line with compliance management policy and procedures
• Develop and maintain an appropriate
  monitoring program and evaluation system to monitor the regulatory
  compliance this must include but not limited to BOU , FI, External audit
  findings

• Maintain an understanding of relevant
  regulatory requirements to provide advice and guidance to Managing
  director and Heads of departments enabling them to implement compliant
  policies and procedures.
• Ensure the regulatory compliance in regards
  to  Central bank, Companies act,
  Financial Intelligence and Anti Money laundering among others
• Work closely with HR on employee training,
  including providing regular training to employees on compliance matters,
  including internal policies and procedures, the application of standards
  and guidelines, and relevant laws and regulatory requirements, promoting
  and enhancing a strong bank-wide compliance culture

• Render support in the compliance risk
  assessment process ensuring that the compliance risks are appropriately
  identified and assessed
• AML Due diligence & KYC
• Conduct various AML due diligence checks for
  all key parties involved in each PBU business transaction.
• Keenly review due diligence information annually
  for all transaction files.
• Facilitate the setting of standards for
  achieving compliance with the relevant Anti-money laundering legislation,
  (local and international), supervisory requirements and policies.
• Develop and maintain an appropriate
  monitoring program and evaluation system to monitor the level of adherence
  to the KYC requirements at account opening and all business relations
• Update internal processes and procedures as
  required due to regulatory changes.
• Promote effective anti-money laundering
  control systems through appropriate training and interventions and oversee
  the implementation of effective anti-money laundering control
• Provide pragmatic advice to the business
  relation to AML requirements.

• Render support in preparing standard and
  ad-hoc information and data reports to regulators and other stakeholders
  as required.
• Prepare and manage on regular basis
  appropriate timely management information on compliance and regulatory
  issues to Company Secretary including suggested mitigating actions.

• Review compliance policies and procedures on
  a regular basis to ensure they comply with statutory and regulatory
  requirements.
• Where relevant participate in the development
  and implementation of other policies and procedures, ensuring regulatory
  and legislative requirements are met.

• Support the Company Secretary in the
  development and maintenance of effective and efficient interaction with
  regulators and, ensuring the bank’s views are appropriately represented
  and facilitating the supervisory activity of regulators and proper
  responses given to the regulator.
• Perform any other duties as assigned by the Company
  Secretary.

• The ideal candidate should preferably hold a Degree
  wither in law or accounting.
• At least three years’ managerial experience
  in a financial institution
• Detailed knowledge of financial services
  regulations, as impacting PBU business, e.g. know your customer,
  anti-money laundering, sanctions, insider dealing, conduct of business and
  conflicts of interest.
• Broad working knowledge and experience of
  best practice compliance and governance frameworks, methodologies and
  emerging practice, compliance monitoring and risk assessments in the
  context of the Ugandan financial services industry.
• Previous exposure and experience of
  communicating with regulators and assisting with regulatory enquiries and
  inspections.
• Highly developed communication and
  influencing skills with ability to build relationships at across the
  organization at all levels.
• Broad and pragmatic thinker, capable of
  quickly interpreting information and presenting arguments in a clear and
  reasoned way.
• Processes driven ability to establish and
  follow new processes.
• Proven ability to challenge constructively
  and enforce appropriate boundaries.
• Accountable for own decisions and actions
  whilst respectful of the professional responsibilities of others.
• Politically astute, self-confident demeanor
  and mature social skills

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