Job Description
Compliance Officer
NDB Investment Bank Limited (NDBIB) is the leading investment bank in the country licensed as a Corporate Finance Advisor by the Securities and Exchange Commission of Sri Lanka and offering a diverse portfolio of financial products and services, both in the Debt & Equity Capital Markets. We are looking for a dynamic and self-driven individual to join our team as the Compliance Officer.
The Job
- Submit periodic compliance reports on the status of compliance to the regulators and manage the licensing renewal process of the Corporate Finance Advisor.
- Liaise with Regulators.
- Handle client complaints.
- Review and implement the compliance program based on the prioritized compliance risks to ensure that the company meets the regulatory requirements and best practices.
- Design new policies and review existing policies and procedures to address identified compliance risks.
- Implementation of Group Policies and Procedures within the company. Ensure compliance with Anti Money Laundering regulations of the Central Bank of Sri Lanka.
- Keeping abreast of new regulations and ensuring compliance with same.
- Monitoring risks of the company and reporting to Management.
- Preparation and submission of compliance and risk reports on a routine basis.
The Person
- An Attorney-at-Law.
- A degree from a recognized university related to law, finance and accounting or a professional qualification in CIMA, CFA, CISI, or CA would be an added advantage.
- Minimum 5 years' experience in a related field.
- Excellent communication and interpersonal skills.
Please forward your detailed resume to [email protected] on or before 15th July 2024.
Investment Bank
