Compliance Claims Investigations Officer at Lawrence Sikutwa & Associates Company Limited

Lawrence Sikutwa & Associates Company Limited (LSA) invites applications from suitably qualified and experienced individuals to fill in the following positions to be based in Lusaka.

KEY QUALIFICATIONS, QUALITIES & ABILITIES

• Full grade twelve certificate with a minimum of a credit in English and Mathematics.
• A relevant Bachelors degree from reputable university and/or a professional
  qualification i.e. CII,CIA, CA ZM, ACCA, CIMA, CRMA, CRISC.
• At least 3 years work experience in a compliance role preferably in a financial
  institution.
• Team player and ability to set up a department
• Strong investigative skills
• Self starter
• Knowledge of the business operations and key processes
• Proactive, sees the big picture and appreciates the impact of macro factors
• Good communication skills
• A high level of analytical skills
• Excellent work ethic

KEY RESPONSIBILITIES

• Ensure internal policies do not contravene current and/or proposed legislation,
  rules and regulations.
• Set plans to manage a crisis or compliance violation.
• Monitor non-compliance and escalate any issues where non-compliance is not
  addressed.
• Evaluate business activities (e.g. Underwriting) to assess compliance risk.
• Educate and train employees on regulations and industry practices.
• Develop and manage full-time investigations processes, ensuring they are
  executed in a sensitive and confidential manner and with the highest levels of
  efficiency and propriety.
• Conducting field enquiries(such as site visits).
• Conducting interviews with potential witnesses and the subjects of investigations.
• Contacting various government and non-government agencies to obtain records
  as required during the course of an investigation.
• Manage the complaints system to ensure that all complaints communicated are
  carefully handledand appropriate follow-up action is taken.
• Prepare concise and timely reports on activities related to compliance &
  investigations.
• Attend court and other legal proceedings to provide evidence on matters that arise
  in the normal course of duty.
• Undertake any other related duties as assigned from time to time.
• Develop and implement an effective compliance program.
• Create sound internal controls and monitor adherence to them.
• Draft and revise company policies.
• Responsible for the review, challenge and roll-out of compliance policies and
  standards.
• Establish and continuously improve consistent operating framework for the
  identification, management, monitoring and reporting of compliance risks and
  issues.
• Ensuring that processed transactions have complete documentation in accordance
  with internal and external policy.
• Liaise with Chief Risk and Audit Officer and Internal Audit on compliance related
  issues, as well as non-compliance with internal policies, legislation, i.e. Financial
  Intelligence Centre Act,The Pension Scheme Regulation Act.

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