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Job Title: Compliance Supervisor
Job Description
• Monitoring and issuing periodic reports on the non-compliance of the law and regulations by the broker-dealer and investment adviser and in charge of preparing regulatory reports
• Establishing and maintaining a complaints register in which shall be recorded the complaints received from clients
• Maintaining communication between the commission and the stock exchange regarding industry related practices
• Regularly educating and training employees on changing regulations in relation to the industry's risk and compliance practices
Required Skills / Experience
• A minimum of a Bachelor's Degree in Finance or other related field from accredited institutions and must possess in approved securities course certificated by the Ghana Stock Exchange
• Must possess risk or audit related educational/professional qualification
• A minimum of 5 years of work experience in a similar role shall be considered
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Years of Experience : 5 Years
Computer Literate
Education
Education Level : Bachelors Degree
Location
City: Accra
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