Compliance Officers

Job Summary

To coordinate with other risk management functions within the Bank and with the internal audit function.

  • Minimum Qualification: Bachelor
  • Experience Level: Mid level
  • Experience Length: 2 years

Job Description

Jobs at:Bank of Baroda

Deadline of this Job:29 September 2020  

Reporting to: Head Compliance. .

Job Responsibilities includes but not limited to the following:

• To identify and assess the main compliance risk issues facing the institution.

• To report to the Senior Management on any material compliance failures (e.g. failures that may attract a significant risk of legal or regulatory sanctions, material financial loss or loss to reputation).

• To conduct a compliance risk assessment at least once in a year.

• If some changes in compliance risk profile based on relevant measurements are observed such as performance indicators, to apprise the senior management about the deficiencies and suggest corrective measures to address the deficiencies and to strengthen the measures already undertaken by the Bank.

• To coordinate with other risk management functions within the Bank and with the internal audit function.

To obtain necessary information from other departments/branches in order to carry out your responsibilities.

• To conduct investigation into the breaches of the compliance policy guidelines.

• To express and disclose your findings, if any, to the senior management. To assist the senior management to effectively manage the institution's risk.

• To ensure compliance of guidelines of all the policies/manuals of the Bank and guidelines of BOU and other local/international authorities. To monitor and test compliance by performing sufficient and representative compliance testing and report the results of such tests to senior management.

• To coordinate with various agencies with regard to Compliance Risk. To attend to various notices and correspondences received from Government organizations like URA, NWSC, BOU etc.

• To ensure periodical statutory information/ statements are sent timely.

To attend to ERASE / FRMS / AML alerts promptly as AMLCO/AMLRO and follow up with branches.

• To carryout "Off-site" compliance test check for KYC-AML guidelines for the accounts opened Transactions done by obtaining data from DWH.

• Conducting Training/workshop for Branch Heads/staff members for creating awareness of compliance Function.

• Forwarding the circulars issued by BOU to respective functional departments and ensuring compliance.


• Graduate with a First Class or Upper Second Class degree in any field and have reasonable knowledge of compliance function. Candidates with certified Anti-Money Laundering specialist (ACAMS) qualification may be given preference. Additional qualifications/certificates in relevant area will be an added advantage.


• Applicant should possess leadership, team building, computer and excellent interpersonal communication skills, besides high degree of integrity & confidentiality with ability to work with minimum supervision.


• Minimum -2- years' experience in compliance Function in a Financial Institution.


Preferably up to -30- years. However, Management reserves the right for determining the age criteria even beyond -30- years keeping in view the market conditions vis-à-vis requirement of the Bank based on experience/ qualifications.


Bank offers an attractive pay package with good career prospects.

Job Education: Graduate with a First Class or Upper Second Class degree in any field


Job application procedure

Typed applications with full C.V., names of two referees with photocopies of academic/professional/experience certificates, proof of age etc. should be sent to the Executive Director, Bank of Baroda (Uganda) Limited, 18, Kampala Road, P.O. Box 7197, Kampala.

CLOSING DATE: Applications complete in all respect should reach to above address on or before 29.09.2020 by 3.00 p.m.


1. Envelope containing application must be clearly marked for the position applied for.

2. Only short-listed applicants will be contacted for selection process as decided by the Bank.

3. No communication will be sent to the applicants whose applications are not found suitable during short-listing process.

4. Bank reserves the right to reject/accept any application and to relax/alter any condition without assigning any reason.

5. Bank reserves the right not to make any appointment as a result of the selection process.

6. The short-listed candidates will be subjected to written test and/or personal interview

. 7. Final selection will be subject to finding the candidate medically fit by Bank's Panel Doctor.

8. If any information with regard to Qualification, Age, Experience, background checks etc. provided by any applicant to the Bank is found to be false at any stage, the Bank reserves the right to cancel his/her selection/appointment at any stage.

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