Manager / Assistant Manager - Risk & Compliance
Banking / Insurance / Financial Services
About the Employer
Job Description
WE ARE HIRING
Manager / Assistant Manager, Risk & Compliance
Sampath Securities is looking for experienced professionals to lead and support the company’s compliance and risk management function. The role reports directly to the Board of Directors and its Sub-Committees, with administrative reporting to the CEO/COO.
LOCATION: Colombo, Sri Lanka
COMPANY: Sampath Securities (Private) Limited
KEY RESPONSIBILITIES
- Ensure compliance with regulations issued by the SEC, CSE, CDS, and other regulatory authorities.
- Develop, implement, and monitor compliance policies, risk management frameworks, and internal controls.
- Prepare and submit regulatory filings, reports, and disclosures on time.
- Liaise with regulators and represent the company in compliance-related matters.
- Conduct compliance and risk audits, recommend corrective actions, and monitor implementation.
- Oversee fraud risk management, operational risk, and review debtor policies.
- Prepare compliance and risk reports for senior management and the Board.
- Review legal agreements, investigate customer complaints, and monitor suspicious transactions.
- Conduct employee compliance training and oversee staff trading compliance.
QUALIFICATIONS & EXPERIENCE
- Bachelor’s degree (or equivalent professional qualification) in Business, Law, Finance, Accounting, Risk Management, Compliance, or a related field.
- 3–5 years of experience in risk management, compliance, audit, or regulatory roles, preferably in the financial services or capital market sector.
KEY COMPETENCIES
- Strong knowledge of Sri Lankan capital market regulations.
- Excellent analytical, problem-solving, and decision-making skills.
- Strong communication and stakeholder management abilities.
- High ethical standards, integrity, attention to detail, and ability to work independently.
APPLY NOW! We look forward to hearing from you.
Send your CV to [email protected]
Subject Line: Manager / Assistant Manager Risk & Compliance
