Regulatory Compliance Analyst
Regulatory Compliance Analyst
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Job Description
Who we are.
Sankore Investments is a forwardthinking investment firm helping individuals institutions and corporate clients grow and protect their wealth. Since 2010 we have built a diverse platform that spans funds management wealth advisory real estate venture capital and technologydriven financial products. Our strategies cut across geographies and asset classes including fixed income equities and alternatives as we work to deliver value in a dynamic global market.
About the Role
The Regulatory Compliance Analyst is responsible for monitoring regulatory developments supporting compliance activities and ensuring the organization meets all applicable legal and regulatory obligations. This role requires strong analytical skills attention to detail and the ability to collaborate across teams to manage regulatory risks maintain accurate documentation and communicate effectively with regulators and internal stakeholders. The ideal candidate will have a solid understanding of financial services regulations experience with regulatory reporting and the capability to manage case files client complaints and remediation tracking with precision and efficiency.
You will report to the Head Legal & Compliance.
Key Responsibilities
Regulatory Monitoring & Interpretation
Monitor regulatory developments and track changes in laws rules and guidance affecting company operations.
Assess the impact of new or updated regulations on the organization s obligations and internal controls.
Draft and update internal compliance documentation reports and regulatory summaries.
Compliance Reviews & Internal Controls
Review policies and procedures to ensure alignment with applicable regulatory standards and recommend enhancements where needed.
Assist in compliance risk assessments and support the implementation of mitigation strategies.
Track open compliance issues and remediation items ensuring timely closure and documentation.
Regulatory Filings & Correspondence
Prepare and submit regulatory filings returns and applications in line with deadlines and requirements.
Draft letters and formal correspondence to regulators and ensure accurate timely communication.
Maintain organized and complete records of regulatory interactions and filings.
Case Management & Client Complaints
Manage internal compliance case files including investigations related to client complaints in brokerage and registrar services.
Log and track complaint resolution progress in line with internal policies and regulatory expectations.
Support root cause analysis and followup actions arising from client feedback and regulatory reviews.
Documentation & Operational Compliance
Support bank account opening processes including preparation and review of required documentation.
Maintain uptodate compliance records and ensure ease of retrieval for audits and inspections.
Collaborate with internal stakeholders to ensure operational adherence to regulatory expectations.
Requirements
Bachelor s degree in Business Finance Law or a related field.
Minimum of 3 years of experience in regulatory compliance preferably within the financial services sector.
Strong understanding of relevant regulatory frameworks including those applicable to brokerage and registrar operations.
Proven experience in handling client complaints regulatory filings and compliance documentation.
Excellent analytical and problemsolving skills with the ability to interpret complex regulations.
Strong communication and interpersonal skills for crossfunctional collaboration and regulatory engagement.
Ability to manage multiple priorities and meet deadlines in a fastpaced environment.
Employment Type
Full Time
