Operations & Compliance Officer

JOB PURPOSE: Responsible for supporting  the day-to-day operational efficiency and regulatory compliance of our fund management advisory and investment business. The role is critical in ensuring that internal processes, client transactions, and regulatory obligations are executed accurately and in alignment with applicable laws and best practices.

KEY RESPONSIBILITIES

Operations Management

• Oversee daily operational activities related to fund management, advisory, and investment transactions
• Coordinate trade execution support, reconciliation, and settlement processes with custodians and brokers
• Maintain accurate records of client accounts, transactions, and portfolio activities
• Support onboarding of clients, including KYC/AML documentation and due diligence
• Assist in preparation of periodic reports (NAV reports, investor reports, performance summaries)
• Identify and implement process improvements to enhance operational efficiency
• Liaise with internal teams (investment, finance, risk) and external service providers

      Compliance & Regulatory

• Ensure compliance with all applicable regulatory requirements and internal policies
• Monitor adherence to AML, KYC, and anti-terrorism financing regulations
• Maintain compliance registers, logs, and documentation
• Support regulatory filings, reporting, and audits (internal and external)
• Conduct compliance reviews, monitoring activities, and risk assessments
• Assist in updating policies and procedures in line with changing regulations
• Provide guidance to staff on compliance best practices and risk mitigation

Risk management & Controls

• Monitor operational and compliance risks and escalate issues where necessary
• Perform periodic checks on transactions and investment activities to ensure regulatory alignment
• Support implementation and testing of internal control frameworks
• Assist in incident reporting and remediation procedures

Documentation and reporting

• Maintain organized records of compliance documentation, contracts, and agreements
• Prepare reports for senior management, regulators, and stakeholders
• Assist in audit preparation by ensuring documentation is accurate and accessible

SKILLS & QUALIFICATIONS

• Bachelor’s degree in Finance, Accounting, Business Administration, Law, or a related field
• 2 years of experience in operations and/or compliance within asset management, fund administration, or investment firms
• Strong understanding of regulatory frameworks relevant to fund management (e.g., AML/KYC, securities regulations)
• Experience working with custodians, brokers, and fund administrators is an advantage
• Excellent verbal and written communication skills are essential.

Interested candidates should, submit their CVs and academic testimonials to this email : people@peoplebrand.co.ug