Compliance Officer

Reference: 4789MLR

Consultant: Michelle le Roux

A successful financial services provider has a vacancy for a Compliance Officer.

Job Description:

To ensure that the Company conducts its business ethically and in compliance with all national and international laws and regulations, professional standards, accepted business practices and internal systems of control, whilst prioritising and considering the key issues that drive business success.

  • Develop and review the legislative universe applicable to the Company’s business.
  • Contribute to the implementation of new legislation and developments in the regulatory environment and advise business of the implications thereof.
  • Apply for and renew all regulatory licenses.
  • Develop and implement an effective compliance risk management plan to identify, assess and manage compliance risk and reputation across the legislative universe.
  • Develop and execute a monitoring plan to ensure implementation of internal controls, processes and practices and document the effectiveness thereof.
  • Proactively monitor on the internal controls, processes and practices to identify the effectiveness thereof.
  • Execute compliance violation plan to take remedial action.
  • Effectively communicate and collate internal risk registers within agreed time frames to group audit committee and executive management on compliance-related issues and recommend remedial actions.
  • Prepare and/or facilitate and submit regulatory compliance reports.
  • Collaborate with internal and external auditors when required.
  • Build relationships with and collaborate with Group compliance when required.
  • Provide advice and guidance to business regarding compliance matters in general.
  • Create awareness of compliance requirements and risk, by devising training material and provide training on compliance related issues.
  • Make recommendations to improve client service and fair treatment of clients.

Requirements:

  • Law degree or relevant tertiary qualification.
  • Certificate in Compliance Management (advantageous).
  • Minimum 3 – 5 years’ experience as Compliance Officer within the Financial Sector with a working knowledge, understanding and application of NCA, POPI, FAIS and FICA.
  • Proficient in MS Office (MS Word; PowerPoint; Excel and Outlook).
  • Excellent communication skills (verbal & written).
  • Problem solving skills.
  • Strong attention to detail.
  • Demonstrate strong ability to lead and influence people.
  • Analytical ability as well as strong project management skills.
  • Integrity and professional ethics.
  • Working towards tight deadlines while coping with pressure.
  • Self-starter with proven initiative.

How to Apply:

  • Email your comprehensive CV to exceedhr@exceed.co.za.
  • If you are already registered, please forward your CV and the relevant reference number to the consultant with whom you are currently registered in order to avoid duplicity on our system.
  • We reserve the right to only conduct interviews with candidates of choice.
  • Applicants who have not received feedback within 30 days from the closing date must please accept their application as unsuccessful.

To apply for this job email your details to exceedhr@exceed.co.za