Compliance Officer

About Suan Capital Ltd

Suan Capital Ltd is an alternative investment firm being established in Zambia, aiming to offer investment opportunities to global investors.

Role Overview

The firm seeks a dedicated, principled, and meticulous Compliance Officer responsible for creating and managing a compliance and regulatory framework. This role ensures the firm's adherence to all relevant laws, regulations, license requirements, and internal controls.

Primary Responsibilities

• Design, implement, and upkeep the firm's compliance program.
• Ensure adherence to the Securities Act, SEC rules, and license conditions.
• Stay abreast of regulatory changes; advise management on impacts.
• Coordinate all regulatory inspections and reviews.
• Prepare and submit regulatory documentation and reports.
• Act as the main contact for the Securities and Exchange Commission and other regulators.
• Supervise the deployment, monitoring, and reviews of the firm's governance.
• Keep all policies updated, compliant, and effective.
• Develop and conduct yearly compliance training sessions.

Required Qualifications and Experience

• Bachelor's degree in Law, Finance, Accounting, Economics, Business Administration or related fields.
• Additional certifications in compliance, governance, risk management, AML or similar areas are preferred.
• Membership in a recognized professional association is advantageous.
• Strong communication, relationship-building, and leadership capabilities.
• At least five years’ experience in compliance, risk, legal, audit, or regulatory roles in financial services.
• Experience with investment advisory, asset management, banking, development finance, securities, pension funds, or financial regulators is highly valued.
• Proven track record with AML/CFT program execution.
• Experience liaising with regulators is desirable.

Additional Information

• Position is based in Lusaka, Zambia.
• Full-time employment reporting to the Managing Director.

Application Instructions

Interested candidates should submit their resume and cover letter via email to [email protected].