TheHiveCareersSenior Risk & Compliance Officer
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Senior Risk & Compliance Officer
Kingston, Jamaica
Apply for Position Or refer someone
Job Openings Senior Risk & Compliance Officer
About the job Senior Risk & Compliance Officer
About the job Senior Risk & Compliance Officer
Job Summary
The Senior Risk & Compliance Officer is responsible for supporting the effective implementation and ongoing monitoring of the organizations risk management, compliance, and Anti-Monty Laundering / Countering the Financing of Terrorism (AML/CFT) framework. The focus of the role is to ensure the company is in compliance with the applicable laws, regulations, rules and guidelines issued by the Financial Services Commission (FSC) as Supervisory Authority and Financial Investigations Division (FID) as Designated Authority.
The position plays a key supporting role in maintaining the integrity, transparency, and reputation of the companies within the JSE Group by identifying, assessing, monitoring, and reporting compliance and regulatory risks in keeping with department standards.
Responsibilities
The Senior Risk & Compliance Officer is responsible for:
1) AML/CFT Regulatory Compliance
- Monitor, evaluate, and test existing AML/CFT policies, procedures, and internal controls
- Identify gaps, weaknesses, or breaches in AML/CFT and compliance frameworks and recommend corrective actions for implementation
- Ensure adherence to all applicable AML/CFT laws, regulations, rules, and guidelines issued by the FSC and other relevant authorities
- Conduct ongoing compliance reviews to assess compliance with regulatory obligations for the Exchange, CSD, and Trustee Services
- Maintain schedule of the due dates of regulatory filings and internal audit feedback, ensure responsible parties within the organization are provided with timely reminders, secure copies of filings and review for accuracy
2) Risk Management
- Assist in maintaining and updating the organizations risk register, with particular focus on AML/CFT and other regulatory risks
- Support the revision of risk registers received from all business units and evaluate the identification, assessment, and monitoring of compliance and regulatory risks across the business units
- Monitor emerging regulatory developments and assess their impact on the organizations risk profile
- Assist with evaluation of the entitys risk appetite and tolerance levels, setting related objectives and developing mechanisms to manage related risks thereby aligning risk appetite and strategy
- Assist with evaluating risks particularly in high-risk areas by conducting risk assessments, identifying, describing and estimating the potential impact of risks affecting the business, recommending processes and controls to lower the risk factors to the company
3) Monitoring, Reporting & Advisory
- Prepare compliance monitoring reports, AML/CFT assessments, and management reports for submission to the Risk & Compliance Manager and senior management prior to board meetings
- Support the implementation of compliance monitoring programs and internal controls frameworks
- Contribute to staff awareness and training initiatives related to AML/CFT, regulatory compliance, and risk management
4) Stakeholder & Reguatory Management
- Support the Risk Manager in liaising with regulators, auditors, internal legal team, and other external stakeholders as required under the direction of the Risk & Compliance Manager
- Support the preparation and submission of regulatory filings, reports, and disclosures.
EDUCATION & EXPERIENCE:
- BSc in Accounting, Business Studies, Professional certification in AML/CFT, compliance or risk management (e.g. CAMS, ICA, CRCM or equivalent)
- Minimum 5 Years experience in risk management, compliance, or AML/CFT within the financial services sector
- Experience working with or responding to regulatory examinations and audits
SPECIFIC KNOWLEDGE REQUIRED:
- Strong working knowledge of AML/CFT legislation, regulations, and standards (e.g. COSO, ISO 3100, FATF)
- Sound understanding of financial services regulation applicable to securities markets, exchanges, CSDs, and Trustee Services including Unit Trust Funds
- Familiarity with FSC rules, guidelines, and supervisory expectations.
- Ability to assess and interpret regulatory requirements and apply them to business operations
SPECIALISED TECHNIQUES/SKILLS:
- Strong analytical and problem-solving skills
- High level of integrity, professionalism, and confidentiality
- Excellent written and verbal communication skills
- Ability to prepare clear, concise, and accurate reports for management and regulators
- Strong organizational skills and attention to detail
- Ability to work independently while collaborating effectively within a team
WORKING HOURS:
- Monday to Friday 8: 30 a.m. to 4:30 p.m.
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About the job Senior Risk & Compliance Officer
\nJob Summary
\nThe Senior Risk & Compliance Officer is responsible for supporting the effective implementation and ongoing monitoring of the organizations risk management, compliance, and Anti-Monty Laundering / Countering the Financing of Terrorism (AML/CFT) framework. The focus of the role is to ensure the company is in compliance with the applicable laws, regulations, rules and guidelines issued by the Financial Services Commission (FSC) as Supervisory Authority and Financial Investigations Division (FID) as Designated Authority.
\nThe position plays a key supporting role in maintaining the integrity, transparency, and reputation of the companies within the JSE Group by identifying, assessing, monitoring, and reporting compliance and regulatory risks in keeping with department standards.
\nResponsibilities
\nThe Senior Risk & Compliance Officer is responsible for:
\n<strong style=\"font-size: 1em;\">1) AML/CFT Regulatory Compliance
\n- Monitor, evaluate, and test existing AML/CFT policies, procedures, and internal controls
- Identify gaps, weaknesses, or breaches in AML/CFT and compliance frameworks and recommend corrective actions for implementation
- Ensure adherence to all applicable AML/CFT laws, regulations, rules, and guidelines issued by the FSC and other relevant authorities
- Conduct ongoing compliance reviews to assess compliance with regulatory obligations for the Exchange, CSD, and Trustee Services
- Maintain schedule of the due dates of regulatory filings and internal audit feedback, ensure responsible parties within the organization are provided with timely reminders, secure copies of filings and review for accuracy
- Assist in maintaining and updating the organizations risk register, with particular focus on AML/CFT and other regulatory risks
- Support the revision of risk registers received from all business units and evaluate the identification, assessment, and monitoring of compliance and regulatory risks across the business units
- Monitor emerging regulatory developments and assess their impact on the organizations risk profile
- Assist with evaluation of the entitys risk appetite and tolerance levels, setting related objectives and developing mechanisms to manage related risks thereby aligning risk appetite and strategy
- Assist with evaluating risks particularly in high-risk areas by conducting risk assessments, identifying, describing and estimating the potential impact of risks affecting the business, recommending processes and controls to lower the risk factors to the company
3) Monitoring, Reporting & Advisory
\n- Prepare compliance monitoring reports, AML/CFT assessments, and management reports for submission to the Risk & Compliance Manager and senior management prior to board meetings
- Support the implementation of compliance monitoring programs and internal controls frameworks
- Contribute to staff awareness and training initiatives related to AML/CFT, regulatory compliance, and risk management
- Support the Risk Manager in liaising with regulators, auditors, internal legal team, and other external stakeholders as required under the direction of the Risk & Compliance Manager
- Support the preparation and submission of regulatory filings, reports, and disclosures.
EDUCATION & EXPERIENCE:
\n- BSc in Accounting, Business Studies, Professional certification in AML/CFT, compliance or risk management (e.g. CAMS, ICA, CRCM or equivalent)
- Minimum 5 Years experience in risk management, compliance, or AML/CFT within the financial services sector
- Experience working with or responding to regulatory examinations and audits
SPECIFIC KNOWLEDGE REQUIRED:
\n- \n
- Strong working knowledge of AML/CFT legislation, regulations, and standards (e.g. COSO, ISO 3100, FATF) \n
- Sound understanding of financial services regulation applicable to securities markets, exchanges, CSDs, and Trustee Services including Unit Trust Funds \n
- Familiarity with FSC rules, guidelines, and supervisory expectations. \n
- Ability to assess and interpret regulatory requirements and apply them to business operations \n
SPECIALISED TECHNIQUES/SKILLS:
\n- \n
- Strong analytical and problem-solving skills \n
- High level of integrity, professionalism, and confidentiality \n
- Excellent written and verbal communication skills \n
- Ability to prepare clear, concise, and accurate reports for management and regulators \n
- Strong organizational skills and attention to detail \n
- Ability to work independently while collaborating effectively within a team \n
WORKING HOURS:
\n- Monday to Friday 8: 30 a.m. to 4:30 p.m.