Compliance Officer

2 weeks ago

East London, Eastern Cape, South Africa The Recruiters Full time

Title:

COMPLIANCE OFFICER (FINANCIAL ADVISORY):

Salary:

  • R k PA negotiable

Description:

  • Our client is a fullservice financial services Group that can offer solutions for the majority of the financial needs of its clients.
  • They are looking to employ a Compliance Officer with relevant experience to assist the Head: Compliance, for their head office based in East London, to ensure that various companies within the Group of Companies comply with necessary legislation within the Financial Services industry as well as assisting with some company secretarial duties. This role would ideally be based in East London but may also be based in Gqeberha (Port Elizabeth).

Category:

  • Finance

General Requirements:

  • Minimum Qualifications, Experience levels and Competencies:
  • 1. Have a BCom Financial Planning or similar qualification
  • e.g. Advanced Certificate in Wealth Planning; CFP designation OR be able to prove advanced knowledge of the full spectrum of the financial planning environment (investments, shares, endowments, risk cover, tax and estate duty etc) AND
- a. 2 years or more Compliance Department / function experience in the financial advisory or asset management fields. Experience with FAIS and FICA is essential (with experience in and knowledge of other related areas such as the JSE Equities Rules being advantageous) OR
- b. Be able to show a strong working knowledge (2 years + work experience) of FAIS, FICA and other relevant regulation in order to demonstrate a strong ability to learn and grow quickly within the Compliance Environment

  • 2. A Compliance and Risk Certificate (or similar) will be advantageous;
  • 3. Experience in or knowledge of company secretarial responsibilities and/or Companies Act would be advantageous, but not essential.
  • 4. Very strong work ethic, prepared to get very involved in operational issues at all levels (i.e. Prepared to get hands dirty and work hard), very high level of initiative (and ability to judge when to make a decision and when to refer/get approval), have a track record of being able to make good decisions andwork relatively unsupervised but still be able to forge excellent working relationships with employees and management of various other business units.

SKILLS:

  • Highly detailed orientated
  • Ability to work under pressure
  • Report writing skills
  • Interpretation of legislation ability
  • Takes initiative
  • Able to work with in a team and establish good relationships
  • Excellent and proactive communication skill (both written and verbal)

Summary of Areas of Responsibility:

  • Internal Compliance Officer Functions
  • Ensuring that various companies within the Group of Companies (mainly financial sector) comply with necessary legislation (predominantly FAIS and FICA but knowledge of NCA and POPIA will be advantageous
- p Duties will entail:

  • Onboarding of clients, conduct client risk rating reviews considering the information gathered during the Client Due Diligence process including research to establish if there is adverse media and such relating to clients and determining whether AML risk level of a client should be lowered or raised and escalate accordingly.
  • Utilise external subscription databases to screen existing clients, their directors and shareholders (if applicable) in order to identify PEPs, influential persons, presence on Sanctions lists, criminal activity and adverse press. Escalate these issues where appropriate.
  • Assist in maintaining the firm\'s PEP databases.
  • Provide support and guidance to the Group and its subsidiaries with a focus on regulatory requirements, standards and best practice related to Compliance and relevant legislation and policy ;
  • Assist the Head: Compliance with due diligence investigations if required;
  • Conduct file monitoring to ensure appropriate levels of compliance and report accordingly;
  • Assist with the review of FAIS documents;
  • Collaborate with other departments to create a culture of compliance and compliance awareness;
  • Ensuring overall business compliance between and across all units within the Group;
  • Ensuring a strong working knowledge of the relevant legislation and relevant codes of conduct and directives;
  • Ensuring a strong working knowledge of relevant Group policy and processes (particularly those related to performing the relevant functions)
  • Giving appropriate input into improving compliance processes;
  • Input into submission of various regulatory reports on behalf of Group companies as may be required;
  • Helping conduct training of other staff as required by regulations and/or deemed appropriate in terms of need;
  • Ensuring strong communication within the department and towards Group employees.
  • Internal Compliance Officer Functions
  • Assist the Group Company Secretary by ensuring that board and shareholder (as required) meetings are set, agendas are prepared 7+ days before meetings and that minutes are taken and distributed within 14 days of meeting

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