Compliance Officer

We are seeking a responsible and detail-oriented Compliance Officer (Manager Level) to lead our independent compliance function as a licensed Primary Dealer, ensuring compliance with CBSL Directions and all applicable statutory and regulatory requirements including AML/CFT. Key Responsibilities Lead an independent compliance function with direct access to the Board, maintaining the Compliance Charter, Manual and policies in line with CBSL Directions for Primary Dealers. Act as primary liaison with CBSL, SEC, CSE and the FIU, including examinations, approvals and timely submission of regulatory returns. Monitor compliance with Primary Dealer obligations, prudential requirements and market conduct rules, including auction integrity, conflicts of interest and personal account dealing. Oversee corporate governance compliance, including Board composition, fit and proper requirements and related-party transactions. Run a risk-based compliance monitoring programme, track regulatory findings to closure and report to senior management and the Board. Manage the AML/CFT programme under the FTRA, covering KYC/CDD, sanctions screening, transaction monitoring and STR reporting. Drive a strong compliance culture through regular training for dealers and client-facing staff. Candidate Profile: Degree in Law, Finance or Accounting, plus a professional qualification (CIMA, CA or ACCA) 7 years in compliance within banking, primary dealing or capital markets, with 3+ years in a senior role Sound knowledge of CBSL Primary Dealer Directions, corporate governance and AML/CFT (FTRA) Experience working with CBSL, SEC, CSE and the FIU Strong integrity, independence and communication skills, with the confidence to engage the Board