COMPLIANCE OFFICER - REGULATORY

Barita Investments Limited invites suitably qualified candidates for the role of Compliance Officer - Regulatory in our organization.

PURPOSE OF POSITION

To assist with compliance oversight with respect to ensure that Barita fulfills regulatory and statutory obligations and adheres to company and group policies and to perform such compliance related activities as may be assigned.

KEY RESPONSIBILITIES

• Maintain current knowledge of applicable laws, regulations and guidelines and keep abreast of pending legislative changes that may affect the business of Barita and providing advice to management in relation thereto
• Provide support in ensuring that all required compliance reporting activities in Barita Investments are completed in timely manner as prescribed for submission to regulatory authorities or statutory bodies (FSC, BOJ, FID, TAJ etc).
• Support the development and maintenance of the Company’s Compliance Matrix which outlines all the regulatory obligations of the institution and provide an overview of the controls that are established to ensure compliance.
• Provide support in the conduct of second line reviews of key controls and/or business processes to assess compliance
• Perform quarterly review of Pension Funds managed by Barita in accordance with SIPP, portfolio mandates and Trust Deeds.
• Conduct monthly reviews of the Unit Trust products being managed by the Asset Management Unit (AMU) in accordance with regulations, Trust Deeds, Investment Policy Statements (IPS), and Investment Committees guidelines.
• Perform a monthly review of the complaint handling process to ensure complaints (related to noncompliance) are addressed in a timely and reasonable manner
• Support the maintenance of AML/CFT controls in line with the Proceeds of Crime Act (POCA), FATF recommendations, and other applicable laws
• Assist in the coordination for internal audits and responding to requests from the regulator as required
• Support the delivery of training and awareness initiatives with respect to compliance responsibilities and foster a culture of integrity and accountability
• Track and follow up on compliance issues and remediation actions.
• Regularly addressing inquiries from staff and management regarding compliance matters, such as regulatory requirements, AML/CFTP, FATCA, and CRS
• Assist the Nominated Officer for Barita in carrying out its function as required

Application Deadline: Interested candidates are encouraged to submit their applications no later than September 30, 2025. We appreciate your interest in joining our team and look forward to reviewing your application.