Compliance Officer – Monitoring job at Tropical Bank Uganda | Apply Now

Monitoring & Oversight

• Coordinate and supervise compliance activities across all branches and head office departments.

• Conduct regular compliance risk assessments, testing, and gap analyses to ensure full adherence to internal policies and procedures.

• Centralize and maintain records of all compliance breaches, regulatory violations, and conflicts of interest.

Policy Evaluation & Development

• Evaluate the relevance and effectiveness of internal policies, guidelines, and controls.

• Recommend and follow up on corrective measures for identified compliance deficiencies.

Internal Controls

• Lead the implementation of compliance checks and monitoring tools, including control maps, risk triggers, and response actions.

• Monitor agent banking network compliance through regular checks and reporting.

AML/CFT/CPF Compliance

• Ensure full compliance with Anti-Money Laundering (AML), Combating the Financing of Terrorism (CFT), and Counter-Proliferation Financing (CPF) policies.

• Report non-compliance and ensure corrective action is taken in line with bank disciplinary procedures.

Training & Awareness

• Promote a strong compliance culture by organizing staff training sessions and ensuring understanding of relevant regulations and internal codes of conduct.

• Act as a resource for staff on compliance queries and support resolution of compliance-related exceptions.

Reporting

• Prepare and submit compliance monitoring reports with actionable insights and recommendations.

• Track implementation progress of compliance initiatives and report unresolved risks to the Senior Compliance Officer.

Other Duties

• Perform any other duties as assigned in support of the Compliance function and Bank objectives.