Compliance Manager

About the role

The firm is expanding its Ghana operations and seeks a commercially minded Compliance Manager to own the compliance framework. You will work closely with senior management, advisers and support staff to ensure adherence to Ghanaian SEC legislation, regulatory standards and internal policies.

Key responsibilities

• Develop, maintain and continuously improve the firm’s compliance policies and procedures.
• Ensure compliance with Securities and Exchange Commission (SEC) Ghana requirements and other relevant legislation.
• Monitor regulatory developments and assess their impact on the business.
• Conduct regular compliance monitoring, risk‑based reviews and regulatory inspections.
• Oversee client onboarding, KYC, AML, and client due‑diligence processes.
• Manage conflicts of interest, complaints, financial promotions and client communications.
• Prepare compliance reports for senior management and maintain regulatory documentation.
• Provide compliance training and guidance to advisers and staff.
• Support the launch of new products and services from a regulatory perspective.

Required profile

• Minimum 5 years of compliance experience, preferably in investment management, wealth management, securities or banking.
• Strong knowledge of the Ghanaian regulatory environment and SEC Ghana requirements.
• Solid understanding of AML/KYC, client due‑diligence and financial‑crime controls.
• Proven experience developing and implementing compliance policies and procedures.
• Ability to work independently while collaborating with senior leadership.

Required skills