Compliance Officer |
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Position Description
a simpler better and faster customer service, minimize operational losses as well as ensure good customer relationships.
Other key responsibilities inculde:
-Record submission of vouchers and source documents in call-over register and sign-off entry.
-Generate and print the transaction journal for entire IBC team for the day and call-over the vouchers and source documents.
-Note errors discovered on the printed journal and in the call-over exception register/form.
-Forward the list of errors as noted in the exception register/form to the teamleader/unit head of the posting officer for correction.
-Update exception register/form with action taken.
-Forward call-over journals to the head, Exchange Control and Compliance for review and sign-off.
-Arrange all individual envelopes in a single IBC call-over envelope, fill-out details on the envelope and forward envelope to the archive at regular interval.
-Balancing of Fx Allocation accounts and providing breakdown i.e Fx Allocation account proof (Monthly)
-Collating and co-ordination of monthly IBC performance tracker
-Reconciliation of IBC trade transaction suspense (GL 5205009) and providing breakdown daily.
-Prepare the grouping, schedule and co-ordinate the quarterly self audit.
-Ensuring compliance of the Exchange Control Documents within regulatory framework.
-Any other assignment as assigned by management
-Resource Utilisation
-Ensures effective, efficient and optimal utilisation of all resources (human and capital) to be responsive to competitive pressures, changing market conditions, client needs and business strategies
-Operational Performance
– Identifies and defines tactical operational performance metrics geared towards meeting the teams objectives by leveraging opportunities.
-Collaborates with other areas to ensure that best practices and a standard approach is followed.
-Provides accurate and timely MIS as per the matrix agreed with Centre (ROA Operations) to enable informed decision making.
– Control
-Identifies, assesses and mitigates the risks facing both systems and business processes thereby minimising the operational risks.
-Problem-solving
-Required to follow laid-down policies and procedures at all times.
-Deal with a wide range of customer queries, showing sensitivity to customers’ individual requirements as well as the bank’s laid-down operational/procedural limitations.
-Refer problems falling outside of parameters to the supervisor for resolution.- Able to take the initiative within limits of authority.
-Proactive end to end query management
-Self Development
-Identify appropriate formal and occupational (informal) training needs and courses (internal/external) to develop yourself under discussion with Team Leader.
-Up-Skill yourself regarding new products and procedures through attendance of workshops/presentations and reading of internal and external communications.
-Share knowledge acquired from courses and apply knowledge gain for value added to job role performance.