Job Description

Head: Compliance Permanent Pretoria Finance / Accounting ~ SHERQ (Safety Health Risk Quality) ~ Human Resources / Recruitment ~ Legal
Pretoria - Gauteng
Head: Compliance Permanent Pretoria
Salary: up to R3.3mil pa (Based on Experience)
Overview:
To ensure that the Compliance function is managed effectively and provide assurance to Management, Board, and Regulators that The Company is aware of and takes steps to comply with legislation, regulations, client mandates, policies, procedures and best practice relevant to The Company.
Minimum Requirements and Experience:

• An Honours/ post graduate Degree in:

• Law, Commerce
• MCom/ LLM or relevant equivalent masters degree advantageous
• 10 -15 years relevant compliance experience in:

• The Financial Sector

• with minimum 5 years in the investment management industry
• Minimum 3 5 experience in team leadership and People management
• FSCA approval as Compliance Officer for FAIS license Category I and II
• FSCA Regulatory Exams certificates (i.e. RE 1, RE 3 and RE 5)
• FIC registration as AML Officer is preferred
• Knowledge of and experience in asset classes (financial instruments) relevant to The Company
• Knowledge of and experience in Corporate Governance
• Risk Management experience
• Knowledge of and experience in legislation relevant to The Company:

• Companies Act
• FAIS Act
• FICA
• CISCA
• Pension Fund Act (Reg 28)
• PFMA
• Financial Markets Act
• JSE Listing Requirements
• Financial Sector Regulation Act
• Competition Act
• King IV
• Properties related legislations

Key Performance Areas:

• To provide strategic vision, leadership, and management of the Compliance department
• Responsible for the development of compliance strategy for the Corporation and oversee its implementation
• To develop, oversee and monitor the implementation of the compliance annual programme/ plan in accordance with statutory requirements and ensure its approval by relevant governance structures
• To be responsible for overseeing and managing the compliance of the Corporation and assisting The Company, its employees and Board to comply with regulatory requirements as well as internal policies, procedures, and client mandates
• To monitor and review The Companys level of compliance with legislations, policies and client mandates and report findings to EXCO, Board and Regulators (where applicable)
• To liaise with Regulators and serve as their first port of call at The Company
• Develop, maintain and oversee implementation of the compliance charter, compliance framework compliance policies and procedures
• Filling all reports as required by legislation to the Regulators in line with the obligations imposed on The Company and the Head of Compliance/ Compliance Officer
• To manage and oversee the identification and interpretation of applicable external compliance requirements.
• To perform and monitor various duties as required by the various anti-money laundering and counter financing of terrorism (AML/CFT) regulatory requirements
• To manage the education of internal stakeholders on compliance requirements.
• To manage the analysis of possible regulatory compliance and mandate compliance threats/risks.
• To ensure business continuity in the Compliance Function and fulfilment of departmental needs.
• To formulate and manage the departmental budget

NB: Should you not be contacted within 2 weeks of your application, please consider it as unsuccessful.
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