Regulatory Reporting & Compliance Officer
First City Monument Bank Plc
January 2009 - Present Day (8 years 3 months)
- Respond to regulatory and compliance issues from branches and other business Units.
- Respond and Liaise with Regulatory Bodies and Law Enforcement Agencies (NDIC, CBN, FIRS, ICPC, EFCC, NFIU, NDLEA, NSE, SEC and NPF) on fraud cases and investigations.
- Interface with bank examiners and other supervisory personnel on routine/periodic examinations.
- Prepare and file monthly, quarterly, annually and other periodic regulatory reports.
- Monitor and ensures the Bank complies with the Code of Corporate Governance.
- Monthly report on level of compliance with Corporate Governance Code to regulatory authority.
- Develop and maintain all compliance procedures.
- Spot checks on level of compliance with operation and regulatory policies at the branches.
- Transaction monitoring, investigations and preparation of suspicious transactions report.
- Conduct Due Diligence on other Financial Institutions for AML requirements.
- Inform management of changes to AML regulation.
- Conduct periodic audit on the Bank's Quality Management System ISO9001:2008.
- Zero tolerance on regulatory sanctions.
- Increase awareness/knowledge of employees on regulatory requirements, policies, guidelines etc.
- Employees' compliance with both external and internal policies and procedures.