9 Aug 2019

Risk & Compliance at I&M Bank

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The role is Responsible for implementation of risk and compliance frameworks, risk identification, assessment and mitigation strategies. Ensuring these aspects are embedded into the operations of the Bank in consultation with the Manager, Enterprise risk.

Performing independent reviews on compliance with the bank’s laid policies and procedures, assess adequacy of risk management controls, observance of regulatory requirements and highlight exceptions or violations.


  • Coordinating Risk & Control Self-Assessment (RCSA) framework across the various Business and Support units.
  • Annually reviewing of operational risk policies and procedures in liaison with the Manager, Enterprise risk.
  • Assisting in developing compliance checklists and conducting compliance checks in Business units as per the checklist developed;
  • Identifying compliance gaps, debriefing the business units and agreeing on action plans to close the gaps;
  • Periodically test controls in the relevant units to ensure that policies and procedures are effectively implemented in the Functional/Business Units and update risk registers appropriately
  • Maintenance of Risk & Control Library
  • Coordination and analysis of loss/incidents data and make recommendations on areas that require control improvement
  • Assisting in identifying all statutory and regulatory reports and following up with the units responsible for these reports to ensure the reports are sent on time;
  • Confirming on a sample basis the accuracy of the returns sent to the various recipients annually;
  • Reviewing Key Risk Indicators received from various departments from across the bank and analyzing them to ensure they are within approved tolerance limits and report any exceptions to the Manager, Enterprise risk. for following up and action planning with the affected units;
  • Performing Risk and Controls self-assessments (RCSA) checks as assigned by the Manager, Enterprise risk from time to time;
  • Assisting in following up for closure/management of Key Risk matters arising from the Risk Control Self-Assessment exercise across the Bank;
  • Review all Internal & External Audit reports to extract relevant risk & control information for use in reporting and remediation and monitor resolution of all associated Internal Audit recommendations post audit issues
  • Bachelor’s degree in a Business related field from a recognized institution.
  • At least 3 years relevant experience in banking in a Banking environment, with sound exposure to Branch Banking Operations, Alternate Banking Channels and Treasury Back office
  • Part completion of CPA (K), CIA, CSIA, FRM or CFA Certification

Skills and Attributes

  • Excellent communication and interpersonal skills;
  • Ability to establish priorities, plan, coordinate and monitor own work plan
  • Strong negotiation skills; and
  • Good understanding of relevant regulatory requirements, CBK Prudential and Risk Management guidelines

How to Apply

Apply here for the Assistant Manager, Risk & Compliance Jobs

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