Risk & Compliance Officer (m/f)

Capricorn Group

Capricorn Group is recruiting a Risk & Compliance Officer (m/f), to be based in Windhoek, Namibia.
  • The primary responsibility of this position is to support the Senior Risk and Compliance Officer with all regulatory reporting functions of all pooled, segregated, and private client portfolios managed by CAM and all group risk and compliance reporting, and all CAM Regulatory matters
  • GRICAF Management:
  • Contribute to the continuous improvement of the GRICAF through evaluating and improving the effectiveness of the overall governance, risk management, and compliance processes within CAM
  • Ensure complete and accurate monthly and quarterly reporting
  • Assist with all risk and compliance reporting and projects
  • Compliance Reporting:
  • Compile the regulatory reports Reg 13 for 3rd parties, Capricorn Unit Trust Funds
  • Compile the NAMFISA One Chart of Accounts Returns quarterly on all CAM registered entities and pension funds
  • Compile monthly the Bank of Namibia Report on MMU’s
  • Compile the Credit & Compliance Committee reporting
  • Compile the Bank of Namibia Quarterly Returns
  • Collect data and compile the NAMFISA SPV Returns on the ERS system
  • Monitor and report credit and regulatory compliance on portfolios to the Senior Risk & Compliance Officer
  • Assist with the implementation of new legislative requirements
  • Assist with regulatory applications and renewals at NAMFISA
  • Assist with reporting queries
  • Assist with NAMFISA inspections
  • Assist on all risk and compliance-related projects
  • Assist the AML Compliance Officer with the closing of Siron alerts
  • Assist with all company’s KYC documentation
  • Assist with FATCA Compliance and recertifications
  • Document and update internal business processes
  • Compile Internal Business Process progress report for submission to governance forums
  • Reporting:
  • Assist with Adhoc risk and compliance related reporting
  • Key Relationship Interfaces
  • Internal Relationships
  • Internal auditors
  • All staff members
  • CAM Executive Management Team
  • Group Risk
  • Group Compliance
  • Group Operations Support
  • Group IT
  • External Relationships
  • Regulators (Namfisa)
  • Bank of Namibia
  • Auditors
  • Pension Fund customers
  • Knowledge of Business & Administration Procedures
  • Knowledge of risk management processes
  • Knowledge of regulatory compliance
  • Knowledge of unit trust industry
  • Knowledge of financial markets, industry terms, and procedures
  • Knowledge of the system and processing activities
  • Technical/ Business Skills:
  • Excellent inter-personal skills
  • Exceptional planning and organizing skills
  • Sound time management skills
  • Strong verbal and written communication skills, both internally and externally to the firm
  • Steadfast professional maturity skills
  • Learning & Researching skills
  • Problem-solving skills
  • Attributes:
  • Ability to develop and maintain professional relationships
  • Ability to assimilate new developments and large amounts of information and synthesis things
  • Operates with a sense of urgency, works well in an entrepreneurial culture, and performs under stress
  • Well-organized, dynamic, and innovative
  • Self-confidence, drive, and tenacity
  • An interest in current affairs, and an appreciation of their impact on the market
  • Able to assume a high level of responsibility
  • Have the ability to work under pressure
  • Trustworthy and high level of integrity
  • High energy levels and motivational abilities
  • Positive attitude towards change
  • Ability to project a professional image
  • Adhering to principles & values
  • B Com Degree
  • Minimum 3 years of experience in the financial services industry
  • Only shortlisted applicants will be contacted
This vacancy is no longer accepting applications


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