Qualifications:

• Relevant qualification, such as a Bachelor of Law/BProc/BCom/LLB
• JSE Compliance Officer Certificate
• JSE Derivatives Compliance (an advantage)
• Relevant RE Exams (an advantage)

 Experience:

• 3-5 years’ experience in an end-to-end compliance function within the Financial Services Industry including full licence management functions.
• In-depth knowledge of Investment Securities and JSE regulations.

Duties & Responsibilities

REVIEW AND MONITORING OF COMPLIANCE PLAN

• Participate in the review and/or development of an appropriate Compliance Monitoring Plan to ensure completeness and accuracy.
• Carry out the compliance plan and conduct regular monitoring of the aggrieved areas
• Conduct and ensure that monitoring is conducted in line with the approved annual monitoring plan

 ENSURES COMPLIANCE REPORTING,  POLICIES & PROCESSES

• Contribute to the review of all critical Compliance policies on an annual basis, in respect of the areas specifically assigned to this role. In addition, the Investment Compliance Policy Register must be appropriately maintained.
• Contribute to the initiation and/or participate in the appropriate implementation of critical statutory projects relevant to Investment Compliance
• Providing reports, regular and ad hoc to Divisional/Business unit Management, Group Compliance and other relevant forums
• Contribute to the review of all critical Compliance policies on an annual basis, in respect of the areas specifically assigned to this role. In addition, the Investment Compliance Policy Register must be appropriately maintained.
• Contribute to the initiation and/or participate in the appropriate implementation of critical statutory projects relevant to Investment Compliance
• Providing reports, regular and ad hoc to Divisional/Business unit Management, Group Compliance and other relevant forums
• Ensure compliance obligations are factored into contracts with external suppliers/service providers, where applicable
• Implement and provide input into governance processes, systems and legislation within area of specialisation.
• Assisting with the preparation and submission of the statutory reports to regulatory authorities (FAIS, NCR, JSE).
• Escalate unresolved policy and governance compliance issues via appropriate channels for investigation and resolution purposes.
• Loading and maintenance of the pledge register.
• Providing professional advice / guidance to business – query management
• Providing compliance into the onboarding of IFAs.
• Assistance with the collection of documentation and information for external monitoring and regulatory inspections.
• Providing compliance input to due diligence reports.
• Assists with administration of governance committees.

 COMPLIANCE ENABLEMENT, RESEARCH AND TRAINING

• Keeping abreast of compliance obligations and new developments in the compliance landscape.
• Identify and then notify relevant stakeholders of compliance training opportunities.
• Provide ongoing training support to stakeholders to ensure that all staff members are trained in respect of regulatory obligations.
• Maintain good working relationships with regulators and Group Compliance to ensure consistency of information presented and to avoid any future contradictions within Momentum Group.
• Make recommendations to improve client service and fair treatment of clients within your area of responsibility.
• Participate and contribute to a culture which builds rewarding relationships, facilitates feedback and provides exceptional client service.
• Assisting business with the identification of compliance gaps.
• Supporting and enabling business strategies/models through compliance solutions.
• Unpacking of new or amendments to existing regulatory obligations and assist and guide business with the implementation of controls for the effective resolution and/or prevention of compliance breaches.
• Providing regular and speedy stakeholder feedback.
• Effective and consistent service delivery and stakeholder support.