Compliance Operations Associate job at A Private Company

Role Purpose

The Compliance Operations Associate supports the day-to-day compliance execution for Frictionless Financial Service SMC Limited, a regulated financial services entity in Uganda. The role focuses on preparing, filing, tracking, and coordinating compliance activities.

Key Responsibilities

Regulatory Reporting & Filings

• Prepare periodic regulatory reports and returns for FFS
• Maintain regulatory calendars and submission trackers
• Submit filings in line with defined timelines and instructions
• Maintain accurate and well-organised compliance documentation

AML / KYB Operations

• Conduct KYB checks on employers, partners, and counter parties
• Perform sanctions and watch list screening in accordance with FFS policies
• Maintain AML/KYC records, logs, and supporting documentation
• Escalate suspicious activity or red flags immediately

Regulator Liaison (Administrative)

• Act as the administrative point of contact with Ugandan regulators
• Coordinate inspections, meetings, and document requests
• Route all substantive regulatory communications for central review

Audit & Inspection Support

• Prepare documentation for regulatory inspections and audits
• Track audit findings and remediation actions
• Support follow-up submissions and evidence collation

Escalation & Coordination

• Escalate all compliance issues, breaches, or regulatory concerns
• Work closely with the Group Legal, Risk & Compliance Manager
• Support FFS management with compliance-related information

Experience & Skills

Required

• 1–3 years’ experience in compliance, audit, or operations
• Exposure to a regulated environment (MFI, Bank, SACCO, etc.)
• Strong attention to detail and documentation discipline
• Ability to work to deadlines and follow defined processes
• Clear written and verbal communication skills

Preferred

• Exposure to AML/KYC or regulatory reporting
• Familiarity with Ugandan financial services regulations
• Basic understanding of data protection requirements

• Prepare periodic regulatory reports and returns for FFS
• Maintain regulatory calendars and submission trackers
• Submit filings in line with defined timelines and instructions
• Maintain accurate and well-organised compliance documentation
• Conduct KYB checks on employers, partners, and counter parties
• Perform sanctions and watch list screening in accordance with FFS policies
• Maintain AML/KYC records, logs, and supporting documentation
• Escalate suspicious activity or red flags immediately
• Act as the administrative point of contact with Ugandan regulators
• Coordinate inspections, meetings, and document requests
• Route all substantive regulatory communications for central review
• Prepare documentation for regulatory inspections and audits
• Track audit findings and remediation actions
• Support follow-up submissions and evidence collation
• Escalate all compliance issues, breaches, or regulatory concerns
• Work closely with the Group Legal, Risk & Compliance Manager
• Support FFS management with compliance-related information

• Strong attention to detail and documentation discipline
• Ability to work to deadlines and follow defined processes
• Clear written and verbal communication skills
• Exposure to AML/KYC or regulatory reporting
• Familiarity with Ugandan financial services regulations
• Basic understanding of data protection requirements

• 1–3 years’ experience in compliance, audit, or operations
• Exposure to a regulated environment (MFI, Bank, SACCO, etc.)