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Compliance Framework:

• Develop, implement, and maintain the company’s Compliance policies (Financial Crime Policy and Risk Management and Compliance Programme), procedures, and controls.
• Regularly review and update compliance reports and policies to align with legislative and regulatory changes.
• Monitor and assess the effectiveness of the compliance framework, ensuring ongoing adherence to laws and regulations.

Client Onboarding & Support:

• Assist management within Mamoru Uganda and working closely with the Head of Compliance Africa to ensure efficient onboarding of clients, ensuring compliance with internal policies and external legislation.
• Oversee Customer Due Diligence (CDD) and Know Your Customer (KYC) processes during onboarding and ongoing monitoring.
• Support the provision of required customer due diligence information to counterparties.

Banking & Counterparty Liaison:

• Facilitate the opening of bank accounts in Uganda by ensuring requested information is up-to-date and delivered to banks within deadlines.
• Act as a point of contact with banks and other financial institutions regarding compliance documentation.

Risk Assessment:

• Conduct regular risk assessments relating to money laundering, terrorist financing, and other financial crime risks.
• Support the risk assessment of clients before and after onboarding, ensuring adequate internal controls are applied.

Transaction Monitoring & Reporting:

• Oversee transaction monitoring processes to identify suspicious or unusual activity.
• Escalate and report suspicious activities to regulatory authorities (e.g., Financial Intelligence Authority (FIA Uganda).
• Ensure timely and accurate submission of reports to regulatory bodies as identified and where applicable.

Training & Awareness:

• Deliver compliance training programmes to ensure staff understand AML obligations and reporting procedures.
• Provide tailored training for employees working in high-risk areas.

Internal Audits & Reviews:

• Conduct periodic reviews of internal systems and controls in relation to applicable laws, legislation and company policies.
• Partner with auditors during compliance audits and regulatory inspections.

Regulatory & Sanctions Compliance:

• Ensure timely submission of regulatory reports and other filings and responses to regulator requests.
• Maintain company compliance with sanctions regimes, including screening customers and transactions against sanctions lists.

Reporting & Governance:

• Provide regular reports to senior management and the Board on compliance programme effectiveness and key risks.
• Prepare and present compliance updates at internal meetings and governance forums.