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Open nowFirst seen 4 days ago

Compliance Officer

CAL6 open roles

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Your applicationOpen nowCompliance OfficerCAL

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The clock on this job

Early applications get read.

12.3% of postings close within 7 days. Measured by our own scanner across the market. CAL postings stay open a median of 2 days.

Share of postings closed within
  1. 2.1%1 day
  2. 4.5%3 days
  3. 12.3%7 days
  4. 19.3%14 days
  5. 35.6%30 days
  6. 57.8%60 days
This job: first seen 4 days ago

CAL median: 2 days open

The posting

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
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