Purpose
Assist in maintaining a strong compliance framework for Investment Banking, Private Equity and Research through compliance monitoring, regulatory reporting, client due diligence, and policy and procedure governance.
Responsibilities
- Assist in the implementation of an effective Compliance Monitoring programme, including periodic reviews, issue tracking, and follow-up on agreed corrective actions.
- Assist with the client onboarding, risk assessments, due diligence and periodic review processes in accordance with applicable regulations and internal policies.
- Ensure timely submission and completion of regulatory requirements and maintain all relevant registers required by the firm.
- Provide day-to-day compliance advice to the business on transactions, wall-crossing, conflicts, research independence, market conduct, client communications, complaints, and escalation of potential breaches.
- Monitor regulatory developments, assess their impact, and support the update and implementation of relevant policies, procedures, and controls.
- Assist with internal audits, regulatory inquiries, regulatory inspections and ad hoc compliance requests.
- Prepare compliance reports, findings, breach summaries, and management updates for review senior management.
Job requirements
- Bachelor’s degree in Business Administration, Business Management, or Finance. Professional compliance or AML certification is preferred, including certifications from ACAMS, ICA and/or other equivalent certification.
- 5 – 7 years’ experience in Compliance within regulated financial institutions, preferably with exposure to capital markets, including investment banking, research, and/or private equity.
- Strong knowledge of applicable Egyptian regulatory requirements, including FRA regulations, AML/CTF obligations, market conduct rules, conflict of interest management & corporate governance standards.
- Strong analytical skills, able to interpret complex regulations and recommend practical solutions.
- Good Microsoft Office skills (Word, Excel and PowerPoint).
- Excellent communication skills (written, verbal and listening).
- Detail oriented; ensure deliverables are always of a high quality.
- Able to work under pressure.
- Multi-tasker, with the ability to meet changing deadlines, and to prioritize and handle multiple projects.
- Self-motivated and maintains a positive attitude.
“Thank you for your interest in applying to EFG Holding. Due to the high volume of applications/interest, please note that we are only able to respond directly to applicants that are shortlisted for interviews.”
