Compliance Officer

About

Description

Our client is looking for an experienced Compliance Officer to join their team. The successful candidate will be part of the Compliance Team and will be responsible for engaging with stakeholders, monitoring and reporting compliance related issues. The main focus of the role will be on Collective Investment Schemes.

Responsibilities

• Drafting, maintaining and enhancing Compliance Monitoring Plans (CMPs)
• Determining the amount, frequency and type of monitoring needed regarding the CMPs
• Monitoring relevant legislation/ internal rules and/ or policies impacting the business, and pro-actively assisting the business in implementing new and/or amended regulatory requirements
• Drafting and submitting status, committee and/ or Board reports Tracking non-compliance and liaising with responsible person(s) to ensure agreed action plans are implemented
• Interacting with regulators, industry bodies and internal/ external stakeholders
• Reviewing the training register to check whether comprehensive training programs have been implemented, and whether all the relevant personnel have been trained
• Actively participating in consultative and lobbying structures regarding legislative and regulatory developments
• Responsible for the completion and/or maintenance of Regulatory Universe
• Cultivating constructive relationships resulting in the Business proactively seeking Compliance involvement
• Developing and training Junior Compliance Officers

Qualifications

• A minimum of 4-5 years in Financial Services, specifically Investment Management
• Relevant experience within the financial services industry, specifically relating to the operations of a CIS Manager
• Exposure to the operations of a Category I, II and III FSPs, Long-Term Insurer and Pension Funds would be advantageous
• Expert knowledge in and understanding of the Collective Investment Schemes Control Act
• Proficiency in the Financial Advisory and Intermediary Services Act, relevant insurance and 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

Application instructions:

• Just click on the apply button to apply