{"id":2812803,"url":"https://alion.io/job/finnovation-compliance-officer","title":"Compliance Officer","company":{"id":4446443,"name":"Finnovation","domain":"cal.lk","url":"https://alion.io/company/finnovation-2","size_band":"51-200","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Manatal","truth_index":null},"role":"Legal","role_family":"Legal","seniority":"senior","employment_type":null,"work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":[],"countries":[],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":null,"experience_years_min":null,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[],"status":"live","first_seen_at":"2026-10-18T10:15:20Z","employer_posted_date":"2026-10-18","last_verified_at":"2026-10-19T06:29:16Z","board_verified":true,"closed_at":null,"days_open":0,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":0},"description":"We are seeking a responsible and detail-oriented Compliance Officer (Manager Level) to lead our independent compliance function as a licensed Primary Dealer, ensuring compliance with CBSL Directions and all applicable statutory and regulatory requirements including AML/CFT. \nKey Responsibilities\nLead an independent compliance function with direct access to the Board, maintaining the Compliance Charter, Manual and policies in line with CBSL Directions for Primary Dealers.\nAct as primary liaison with CBSL, SEC, CSE and the FIU, including examinations, approvals and timely submission of regulatory returns.\nMonitor compliance with Primary Dealer obligations, prudential requirements and market conduct rules, including auction integrity, conflicts of interest and personal account dealing.\nOversee corporate governance compliance, including Board composition, fit and proper requirements and related-party transactions.\nRun a risk-based compliance monitoring programme, track regulatory findings to closure and report to senior management and the Board.\nManage the AML/CFT programme under the FTRA, covering KYC/CDD, sanctions screening, transaction monitoring and STR reporting.\nDrive a strong compliance culture through regular training for dealers and client-facing staff.\nCandidate Profile:\nDegree in Law, Finance or Accounting, plus a professional qualification (CIMA, CA or ACCA)\n7 years in compliance within banking, primary dealing or capital markets, with 3+ years in a senior role\nSound knowledge of CBSL Primary Dealer Directions, corporate governance and AML/CFT (FTRA)\nExperience working with CBSL, SEC, CSE and the FIU\nStrong integrity, independence and communication skills, with the confidence to engage the 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