Job Description

Compliance Officer MUST come from Financial Services R550K - R700kCTC

Duties & Responsibilities

Role will provide focus on providing compliance support to the group on regulatory matters emanating from local and international operations to improve efficiency and effectiveness of the compliance team. Part of group compliance team. Be a specialist trusted business partner for management to identify and implement for purpose compliance interventions to enable growth of business, new ventures, products and services. Recommend improvements to minimise compliance and business risk exposure. Apply wide range of legislation for legal entities of Group internationally. Tracking legislative changes for updating Group. Provide advice to management on actions to be taken. Draft new and identify changes to existing policies and procedures.

You must be ale to work in a constantly changing environment with wide regulatory universe and new pieces of local and foreign legislation added in a short space of time when new business is embarked on. Think outside the box and a self-starter.

MS Office and Excel. Able to review existing procedures and policies to enhance and or redesign them at the cutting edge of Agile risk-based compliance. You have experience working with leading technology for risk-based compliance.

FSCA FAIS CATGORIES 1,2 AND 3 AND CISCA approved Compliance Officer

JSE Compliance Officer exams

Legislation knowledge - Financial Advisory and Intermediary Services Act 2002; Financial Intelligence Centre Act, 2002; Financial Sector REGULATION Act 2017; National Credit Act 2005.

Experience of the following pieces of legislation an advantage: Collective Investment Schemes Control Act 2002, Pension Funds Act 1956; Protection of Personal Information Act 2013; Insurance Act 2017; Long-term Insurance Act 1998 and Short-Term insurance Act 1998.

Assist with compliance governance processes, procedures and documentation, audits of licensed activities, assist with preparation and implementation of compliance monitoring plans, risk management plans, compliance checklists for products, services, drafting responses to complaints at a client level and ombudsman/regulatorlevel; keep up to date with regulatory notices - due diligence checks for FICA/AML purposes; prepare KYC packs for all group entities. Report to senior management whilst operating independently as a specialist point of contact and build trust with regulators and policy makers Identify compliance risks. Regular review of existing complex processes and procedures and ensure these are compliant with identified legislative requirements. Prepare, plan and conduct compliance training of staff across the group regularly.

Desired Experience & Qualification

3-7 years specialist compliance and or regulatory experience and MUST come from Financial Services

LLB IS A prerequisite - completed articles would be advantageous. Compliance Management Certificate an advantage, accredited/ certified Compliance Officer, extensive regulatory landscape knowledge - meet the requirements in terms of FAIS Act regulations, good drafting skills advant, previous xp. dealing with senior business leaders.

R550 - R700KCTC Package & Remuneration

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