Team Member, Investigation Monitoring & Enforcement at United Bank for Africa (UBA)

Job Objective(s)

• Ensure policy and regulatory compliance.
• Provide compliance and advisory function services to management.
• Raise the culture of Compliance in the bank.
• To manage and support the bank’s compliance risk management strategy by monitoring and enforcing regulatory compliance and compliance with the bank’s laid down rules.
• Be involved in helping Cluster Compliance Officers in ensuring compliance with the external and internal rules guiding the bank across the various cluster arrangement.
• Promote initiatives to ensure compliance with the bank’s laid down policies/rules in order to enhance the compliance culture in the bank through spot checks, regular risk based reviews etc.
• Be involved in the activities of Cluster Compliance Officers to organize and facilitate AML training sessions, enforcing complete documentation/ applying adequate KYC controls, investigations and handling of unusual/suspicious transactions, records keeping.
• Assist Cluster Compliance Officers to respond to and close out enquiries on Compliance HelpDesk, respond to enquiries from regulatory and law enforcement agencies, review questionable transactions referrals (QTRs) from BOs.
• Ensure Cluster Compliance Officers submit spot check reports etc to the Chief Compliance Officer are received as planned. etc.
• Monitor regulatory changes, level of compliance to Internal and External regulations by through monthly incidence reporting.
• Facilitate in Compliance training.
• Monitor transactions according to Policy.
• Dispose Actimize alerts.
• Track Compliance & AML Audit Review comments of the subsidiaries and Group Compliance to ensure that corrective actions are implemented and escalate to Chief Compliance Officer when necessary.
• Track Regulatory Compliance examination comments of the subsidiaries and Group Compliance to ensure that corrective actions are implemented and escalate to Chief Compliance Officer when necessary.
• Other ad hoc tasks.

Minimum Education Qualification

• Minimum of a University First Degree

Previous Work Experience Requirements:

• Experience in Operations, Internal Control or Audit, Compliance, Risk
• Banking: Minimum of 2 years’ experience

Skills Required:

• Strategic thinking & problem solving ability.
• Avid Reader
• Analytic and Investigation skills
• Conceptual skills
• Good interpersonal & communication skills.
• Value adding orientation.
• Proficiency in use of excel, power point, World Check, Finacle, Actimize etc.

Knowledge:

• Attention to detail
• Deep knowledge of the Bank’s Products, Policies & Regulatory universe/directives.
• Good understanding of sanction screening