Role Overview

Ensures that the microfinance institution operates in full adherence to regulatory requirements, internal policies, and ethical standards. This role involves developing and implementing compliance frameworks, monitoring operations for regulatory risks, and guiding staff on compliance matters. The Compliance Officer also acts as a liaison with regulators, ensures accurate reporting, and promotes a culture of integrity and accountability across the institution. Ultimately, the position safeguards the firm’s reputation and sustainability while supporting its mission to provide responsible financial services to underserved communities.

Key Responsibilities

• Develop and implement compliance policies and procedures aligned with Bank of Uganda regulations and internal standards.
• Monitor and review operational activities to ensure adherence to regulatory requirements and ethical lending practices.
• Conduct compliance audits and risk assessments to identify gaps and recommend corrective actions.
• Train and guide staff on compliance matters, regulatory updates, and ethical standards.
• Prepare and submit regulatory reports accurately and on time to relevant authorities.
• Investigate and resolve compliance issues or breaches, ensuring corrective measures are implemented.
• Act as a liaison with regulators and external auditors, maintaining transparent communication.
• Promote a culture of compliance and integrity across the institution through awareness and enforcement.

Requirements / Essential Qualifications

• Bachelors degree in law, Finance, Accounting, Business Administration, or a related field. A postgraduate qualification or certification in compliance, risk management, or governance is an added advantage.
• Minimum of 3–5 years’ experience in compliance, risk management, or audit, preferably within a financial services or microfinance institution.
• Strong knowledge of Bank of Uganda regulations, microfinance policies, and financial sector compliance standards.
• Ability to conduct compliance audits, risk assessments, and prepare regulatory reports.
• Proficiency in MS Office and familiarity with compliance management systems.
• Excellent communication, training, and advisory skills to guide staff and engage with regulators.
• High integrity, accountability, attention to detail, and strong problem-solving ability. Must be proactive, resilient, and able to work independently under pressure.

• Develop and implement compliance policies and procedures aligned with Bank of Uganda regulations and internal standards.
• Monitor and review operational activities to ensure adherence to regulatory requirements and ethical lending practices.
• Conduct compliance audits and risk assessments to identify gaps and recommend corrective actions.
• Train and guide staff on compliance matters, regulatory updates, and ethical standards.
• Prepare and submit regulatory reports accurately and on time to relevant authorities.
• Investigate and resolve compliance issues or breaches, ensuring corrective measures are implemented.
• Act as a liaison with regulators and external auditors, maintaining transparent communication.
• Promote a culture of compliance and integrity across the institution through awareness and enforcement.

• Proficiency in MS Office and familiarity with compliance management systems.
• Excellent communication, training, and advisory skills to guide staff and engage with regulators.
• High integrity, accountability, attention to detail, and strong problem-solving ability.
• Proactive, resilient, and able to work independently under pressure.

• Bachelors degree in law, Finance, Accounting, Business Administration, or a related field.
• A postgraduate qualification or certification in compliance, risk management, or governance is an added advantage.
• Strong knowledge of Bank of Uganda regulations, microfinance policies, and financial sector compliance standards.
• Ability to conduct compliance audits, risk assessments, and prepare regulatory reports.