Compliance Officer

WE ARE HIRING : Job Description: Compliance Officer

Location: Colombo, Sri Lanka

Reports to: CEO Board Risk Management


Key Responsibilities

1. Regulatory Compliance

- Monitor and ensure compliance with all relevant laws, regulations, and guidelines, including SEC regulations, CBSL directives, and international standards such as IOSCOs Code of Conduct for Credit Rating Agencies.

- Stay updated on changes in regulatory frameworks and advise management on their implications for the agencys operations.

- Prepare and submit compliance reports to regulatory bodies as required.

2. Policy Development and Implementation
- Develop, implement, and maintain internal compliance policies, procedures, and controls to mitigate risks and ensure adherence to regulatory and ethical standards.
- Conduct regular reviews of policies to align with evolving regulations and industry best practices.

3. Risk Management
- Identify, assess, and mitigate compliance-related risks within the agencys operations.
- Collaborate with the Risk Management team to integrate compliance considerations into the agencys overall risk framework.

4. Training and Awareness
- Design and deliver compliance training programs for employees to promote awareness of regulatory requirements, ethical standards, and internal policies.
- Foster a culture of compliance and integrity across all levels of the organization.

5. Monitoring and Auditing
- Conduct regular audits and compliance checks to ensure adherence to internal policies and external regulations.
- Investigate and report on any compliance breaches or irregularities, recommending corrective actions as needed.

6. Stakeholder Engagement
- Act as the primary point of contact for regulatory authorities, including the SEC and CBSL, on compliance-related matters.
- Liaise with external auditors, legal advisors, and other stakeholders to ensure compliance obligations are met.

7. Reporting and Documentation
- Maintain accurate records of compliance activities, audits, and training programs.
- Provide regular reports to senior management and the Board of Directors on compliance status, risks, and recommendations.

Qualifications and Skills

- Education: Bachelors degree in Law, Finance, Business Administration, or a related field. A Masters degree or professional certifications (e.g., CFA, ACCA, or compliance-related qualifications like CCEP) is an advantage.

- Experience: Minimum of 3-5 years of experience in compliance, risk management, or a related role, preferably in the financial services or credit rating industry.
- Knowledge:
- Strong understanding of Sri Lankas financial regulatory framework, including SEC and CBSL regulations.
- Familiarity with international accounting standards for credit rating agencies (e.g., IOSCO principles).

- Skills:
- Excellent analytical and problem-solving skills.
- Strong communication and interpersonal skills to engage with internal and external stakeholders.
- Attention to detail and ability to work under pressure in a fast-paced environment.
- Proficiency in Microsoft Office and compliance management software.

Personal Attributes
- High level of integrity and ethical standards.
- Proactive and self-motivated with a commitment to continuous learning.
- Ability to work independently and as part of a team.

Salary and Benefits
- Competitive salary based on experience and qualifications 
- Comprehensive benefits package, including health insurance, professional development opportunities, and performance-   based incentives.

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We're InTalent Asia, your go-to recruitment partner in Sri Lanka, and we've got an exciting opportunity for you! Our client is looking for a dynamic individual to fill the role of Compliance Officer

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