4 weeks ago
Job title : Compliance Officer | Compliance | Assurance
Job Location : Western Cape, Cape Town
Deadline : September 21, 2024
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Role responsibilities
- Drafting, maintaining, and enhancing Compliance Monitoring Plans (“CMPs”)
- Determining the amount, frequency and type of monitoring needed to satisfy the CMPs.
- Monitoring of relevant legislation/ internal rules and/ or policies impacting the business, including wider legislative, regulatory, company and industry standards, and pro-actively assists the business in implementing new and/or amended regulatory requirements.
- Draft and submit status, committee and/ or board reports.
- Track instances of non-compliance and liaise with responsible person(s) to ensure agreed action plans are implemented.
- Where necessary, interacting with regulators, industry bodies and internal/ external stakeholders.
- Review the training register to check whether comprehensive training programs have been implemented, and whether all the relevant personnel have been trained.
- Active participation in consultative and lobbying structures regarding legislative and regulatory developments.
- Responsible for the completion and/or maintenance of Regulatory Universe.
- Cultivates constructive relationships which results in the Business proactively seeking Compliance involvement.
- Developing and training Junior Compliance Officers.
Competencies and attributes
- Good management and leadership ability.
- Methodical, thorough, and attentive to detail.
- Passionate, dynamic, proactive, and driven.
- Impartial and challenging (independent minded).
- Good ethical judgement.
- Excellent emotional intelligence.
- Ambitious and avid learner.
- Ability to work efficiently without close supervision.
- Team player.
- Adaptable and resilient.
- Self-motivated, organised and deadline driven.
- Excellent Microsoft Office skills – MS Outlook, Word, Excel, Visio, PowerPoint etc.
Skills
- Effective negotiation and influencing skills.
- Strong analytical, investigative, problem solving and probing skills.
- Solid report-writing skills and presentation skills.
- Excellent communication and interpersonal skills, including communicating effectively with colleagues and external parties (clients, regulators, and industry bodies).
- Good time management skills
Education and experience
- Legal and/or Commercial Degree,
- A minimum of 3-4 years Financial Services experience, specifically Investment Management.
- Relevant experience within the financial services industry, specifically relating to the operations of Category I, II and III FSPs, a CIS Manager, Long-Term Insurer and Pension Funds.
- Proficiency in the Financial Advisory and Intermediary Services Act, Collective Investment Schemes Control Act, relevant insurance legislation and relevant anti-money laundering legislation, and working knowledge of the Pension Funds Act and relevant data protection legislation.
- Passed the applicable FSCA Regulatory Exams advantageous.
- FAIS approved Compliance Officer with the FSCA advantageous.
- Compliance Professional registered with the Compliance Institute of South Africa will be advantageous.
How to Apply for this Offer
Interested and Qualified candidates should Click here to Apply Now
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