Senior Officer: Compliance and Risk Management

Published by Jobstanzania on 7:02:00 am

The Dar es Salaam Stock Exchange PLC (DSE) was established in 1996 as a company limited by guarantee without share capital. In June 2015, it changed to a company limited by shares and in July 2016 it was self-listed.

The principal activity of the DSE is, among others, to provide a platform for trading settlement and depository of listed securities and facilitate companies to raise capital via issuance of shares and bonds.

In order to enhance its governance and operational efficiency, DSE is looking for an ambitious, highly motivated candidate with integrity and experience in compliance and risk management practices to fill the position of Senior Officer: Compliance and Risk Management and thus inviting applications from suitable qualified candidates.

Academic Qualifications and Experience:

  • Holder of Degree/Postgraduate qualifications in Economics, Risk Management, Business Administration, Finance, Accounting or related discipline;
  • Minimum of 3 years’ experience in Risk and Compliance field in a financial institution;
  • Possession of Risk Management certifications will be an added advantage;
  • Strong analytical and report writing skills.

Duties and Responsibilities

  • Ensure that DSE is in compliance with the applicable internal procedures and external regulatory requirements;
  • Planning, designing and implementing an overall risk management process for DSE
  • Prepare and review risk management reports and; ensure limit excesses, exception and non-compliance issues are promptly addressed;
  • Develop a sound long term strategic direction and implementation plan for the DSE’s risk policies;
  • Carrying out processes to limit risks and prepare for “if things go wrong”;
  • Conducting audits of policy and compliance to standards, including liaison with internal and external auditors;
  • Conduct risk assessment to analyze the risks affecting DSE business;
  • Oversee compliance to continuing listing obligations by DSE and DSE members;
  • Developing and implementing the relevant strategies to tackle compliance issues;
  • Liaise with senior management on a regular basis reflecting on the compliance aspect of their respective business units and suggest how to reduce compliance risk;
  • Monitor, and as necessary, coordinate compliance activities of other departments to remain abreast of the status of all compliance activities and to identify trends;
  • Identify potential areas of compliance vulnerability and risk-posed;
  • Develop/implement corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future;
  • Provide reports on a regular basis, and as directed or requested, to keep the senior management informed of the operation and progress of compliance efforts;
  • Perform any other duties as assigned by Management;

Competitive remuneration package will be offered as per the DSE pay scales.

Mode of Application
All interested candidates are required to apply by attaching to their application: current curriculum vitae (CV), copies of academic certificates, full addresses including contact phone number, email address and two reference letters from referees who can testify to the applicant academic abilities, working experience and character.

Applications should be sent:

Chief Executive Officer,
Dar es Salaam Stock Exchange PLC
14th Floor, Golden Jubilee Towers, Ohio Street
P. O. Box 70081

Deadline for applications is on 30th August, 2017.

Only short-listed candidates will be contacted for interview.



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