Compliance Officer (Manager Level)

About Our Client

Our client is a financial services organization operating in the capital markets sector, seeking an experienced professional to lead its independent compliance function.

Job Overview

The Compliance Officer will oversee regulatory compliance, corporate governance, and AML/CFT requirements, ensuring adherence to Central Bank of Sri Lanka (CBSL) directions and applicable statutory regulations.

Key Responsibilities

• Lead the independent compliance function and maintain compliance policies and procedures in line with regulatory requirements.
• Liaise with CBSL, SEC, CSE, and the Financial Intelligence Unit (FIU) on regulatory matters, approvals, examinations, and returns.
• Monitor compliance with Primary Dealer obligations, prudential requirements, and market conduct rules.
• Oversee corporate governance compliance, including Board composition, fit-and-proper requirements, and related-party transactions.
• Conduct risk-based compliance monitoring and track regulatory findings through to closure.
• Manage the AML/CFT programme, including KYC/CDD, sanctions screening, transaction monitoring, and suspicious transaction reporting.
• Conduct compliance training for dealers and client-facing staff.

Qualifications & Requirements

• Degree in Law, Finance, or Accounting, along with a professional qualification such as CIMA, CA, or ACCA.
• 7 years of compliance experience in banking, primary dealing, or capital markets, including 3+ years in a senior role.
• Strong knowledge of CBSL Primary Dealer Directions, corporate governance, and AML/CFT requirements under the FTRA.
• Experience working with CBSL, SEC, CSE, and the FIU.
• Strong integrity, independence, and communication skills, with the confidence to engage with the Board.

Interested candidates may send their CV to [email protected]