DPF Senior Officer – Compliance and Risk Jobs in Uganda

DPF Senior Officer – Compliance and Risk Jobs in Uganda


Job Purpose

  • To collect and analyze data to detect deficient controls, duplicated effort, extravagance, fraud, or non-compliance with laws, regulations, management policies, collect evidence for proceedings and investigate legal issues.

    Key Responsibilities

  • Oversee the development or implementation of compliance-related policies and procedures throughout the Fund.

  • Oversee internal reporting systems such as corporate compliance hotlines and inform employees about these systems.

  • Report violations of compliance or regulatory standards as appropriate or required.

  • Analyze new legislation to determine the impact on risk exposure.

    Duties

  • Researches and assesses how well compliance management processes are working and recording the results using software such as Microsoft Word and Excel.

  • Performs assessments on key business activities and using this information to guide what should be covered in compliance audits.

  • Anticipates emerging issues through research and interviews and deciding how best to deal with them.

  • Examines and evaluates financial and IT systems, recommend controls to ensure system reliability and data integrity.

  • Serves as a confidential point of contact for employees to communicate with management, seek clarification on issues or dilemmas, or report irregularities.

  • Establishes organizational risks, set tolerances for those risks and manage risks within those tolerances, and leverage risk opportunities.

  • Develops contingency plans to deal with emergencies and Business Continuity.

  • Prepares and submit confidential reports of examination and, as circumstances dictate, coordinate joint or concurrent examination activities with external examiners.

  • Keeps records and ensure communication of key compliance issues.

  • Identifies key risks and mitigating factors of potential investments, such as asset types and values, legal and ownership structures, professional reputations, customer bases, or industry segments.

  • Devises or recommend systems and processes to monitor the validity of risk modelling outputs.

  • Maintains documentation of compliance activities, such as complaints received or investigation outcomes.

  • Disseminates written policies and procedures related to compliance activities.

  • Consults with corporate lawyers as necessary to address difficult legal compliance issues.

  • Collaborates with Human Resources division to ensure the implementation of consistent disciplinary action and strategies in cases of compliance standard violations.

  • Aids external auditors in compliance reviews.

  • Designs or implement improvements in communication, monitoring, or enforcement of compliance standards.

  • Performs other work-related duties as assigned, within your scope of practice.

    Expected Outputs

  • Review or modify policies or operating guidelines to comply with changes to environmental standards or regulations.

  • Identification and documentation of enterprise-wide risks and mitigating factors for the Fund.

  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes.

  • Discuss
    emerging compliance issues of the Fund with management or employees.

    Competencies

    Technical Competencies

  • Broad expertise including areas such as operational risk, credit risk, market and liquidity risk and financial compliance.

  • Compliance auditing and certification of financial statements.

  • Auditing and fraud detection.

  • Assessment of internal control, risks and governance processes.

  • Risks assessment and management.

  • Ability to competently use Microsoft Office, including Word, PowerPoint, Excel, and appropriate risk management software.

    Behavioral Competencies

  • Accountability and Dependability Takes personal responsibility for the quality and timeliness of work and achieves results with little oversight.

  • Transparency and Integrity Earns others’ trust and respect through consistent honesty and professionalism in all interactions.

  • Team Spirit and Collaboration Promotes cooperation and commitment within the team to achieve the Fund’s organizational goals and deliverables. Builds constructive working relationships characterized by a high level of acceptance, cooperation, and mutual respect

  • Adaptability and Flexibility Adapts to changing needs, conditions, and work responsibilities.

  • Self-Management and Thoroughness effectively manage own time, priorities, and resources to achieve goals. Ensures that work is complete and accurate and independently follows up with others to ensure that agreements and commitments have been fulfilled.

  • Communication Shares and receives information using clear oral, written and interpersonal communication skills.

  • Stress Tolerance and Tact Maintains composure in highly stressful or adverse situations, diplomatically handles challenging or tense interpersonal situations.

  • Employee Engagement and Enthusiasm Demonstrates commitment to the job, colleagues, the Fund and its mission by acting in ways that further the accomplishment of its goals.

    Qualifications and Experience

  • A first-class or upper second-class bachelor’s degree in business administration, economics, commerce or related field, from an accredited institution, is essential.

  • 3+ years’ experience working in a compliance and risk management capacity in banking or financial services field is essential.

  • Professional certification in risk management, Certified Public Accountant (Uganda), ACCA or relevant field is desired.

  • Experience in audit is desired.

  • Demonstrated proficiency of MS office packages is desirable.

    How to Apply

  • For more information and job application details, see; DPF Senior Officer – Compliance and Risk Jobs in Uganda

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