Investment Banking provides clients with a range of advisory and financing solutions. Specialising in high-growth emerging markets, our expert advisers work on mergers and acquisitions, capital restructurings and empowerment deals, as well as arranging finance for acquisitions, client projects and property transactions.Job Purpose
To support the CEO of Stanbic IBTC Capital (SICL) and the Stanbic IBTC Chief Compliance Officer to discharge their responsibilities relating to the compliance risk management process as required by relevant regulatory requirements, applicable codes of conduct and minimum standards
Assist line management and other members of staff by providing advice to guide in discharging their responsibilities to ensure compliance with all statutory, regulatory and internal policy requirements in order to:
Protect the reputation of SICL and the Group;
Avoid the institution of legal action against SICL;
Promote a good working relationship with supervisors/regulators;
Ensure good housekeeping practices; and
Enable SICL to demonstrate to regulatory authorities and other stakeholders that it is “fit and proper” to undertake its business.
To develop and maintain a thorough understanding of the relevant regulatory requirements and policies applicable to SICL, thereby facilitating the establishment of a compliance culture.
To guide all members of staff to act with integrity, diligence, and in an ethical manner in dealing with all clients.Key Responsibilities/Accountabilities
Responsible for the completion and maintenance of SICL’s Regulatory Universe and Policies
Ensure SICL’s timely compliance with all regulatory requirements including but not limited to all periodic and adhoc regulatory reports and obligations
Responsible for the development and maintenance of detailed Compliance Grid on relevant laws, regulations and policies.
Provides gap analysis of updated regulations/legislations and policies.
To maintain a good working relationship with the Securities & Exchange Commission (“SEC”)
To ensure that SICL is aware of changes to any applicable Rule or Regulation and to interpret the implications of any regulatory changes to SICL.
Ensure a coordinated / aligned strategic approach to and position of, emerging regulatory developments.
To be actively involved in relevant industry/regulatory committees.