Junior Compliance Officer

Junior Compliance Officer

Reporting Line: Chief Compliance Officer (CCO).

The Compliance Officer supports the Chief Compliance Officer (CCO) in implementing and maintaining the compliance framework of Zuri Capital S.C. The role combines operational execution and analytical support, focusing on compliance monitoring, regulatory reporting, risk identification, and internal control enhancement. The position is designed to ensure adherence to Ethiopian capital market laws, directives issued by the Ethiopian Capital Market Authority (ECMA), and internal policies, while progressively contributing to the strengthening of the firm’s compliance culture. The Compliance Officer operates under the supervision of the CCO and does not assume ultimate compliance oversight responsibility.

Key Responsibilities

Compliance Monitoring

• Conduct routine compliance checks on business activities and transactions.
• Monitor adherence to internal policies, procedures, and regulatory requirements.
• Maintain compliance monitoring schedules and tracking tools.
• Escalate identified risks or non-compliance issues to the CCO.

Regulatory Reporting Support

• Assist in preparing periodic and event-driven reports required by ECMA.
• Collect and verify data from relevant departments for reporting purposes.
• Maintain accurate records of regulatory submissions and official correspondence.

Policy Implementation & Documentation

• Support implementation of compliance policies and internal control procedures.
• Assist in reviewing and updating compliance manuals when regulations change.
• Maintain regulatory registers, including incident logs and compliance checklists.

AML/CFT Compliance Support

• Assist in monitoring AML/CFT procedures and internal reporting mechanisms.
• Maintain relevant compliance registers and documentation.
• Support internal awareness sessions on AML/CFT obligations.

Inspection & Regulatory Review Support

• Prepare documentation required during regulatory inspections or supervisory reviews.
• Coordinate with departments to compile requested information during regulatory inquiries.

Incident & Breach Handling

• Document compliance incidents and assist in internal investigations.
• Monitor implementation of corrective and preventive actions.
• Maintain breach and remediation tracking logs.

Authority & Accountability

• Access to operational and compliance-related information necessary to perform assigned duties.
• Authority to request documentation from departments for compliance monitoring purposes.
• Obligation to escalate material compliance concerns to the Chief Compliance Officer promptly

Qualification Requirements

• Bachelor’s degree in law, Accounting, Finance, Management, or related field from a recognized higher learning institution.
• Minimum one year of relevant experience in compliance, internal audit, risk management, legal affairs, or financial services.
• Basic knowledge of Ethiopian capital market regulations and financial sector laws.
• Training or certification in compliance or AML/CFT is an added advantage.