Risk and Compliance Officer

2 weeks ago

Johannesburg, Gauteng, South Africa Ultra Personnel Full time
Degree in Law
Certified Anti Money Laundering Specialist (CAMS) will be an added advantage
Minimum of 2-5 years compliance-related experience is essential
Insurance and financial services industry experience is preferred
Primarily you will be responsible for the development and monitoring implementation of business risk and compliance framework as well as provide assurance on industry and regulatory compliance programs in line with prevailing legislative environment governing the financial sector in insurance
Assist with the operational implementation of the Group Governance Framework
Draft and review operational governance policies.
Manage operational governance processes, e.g. drafting and updating of delegation of authority.
Knowledge and understanding of legal principles and ability to interpret legislation.
Knowledge and understanding of compliance risk management principles
Knowledge and understanding of the Financial Services Industry.
Knowledge of other legislation applicable to the business, e.g. Collective Investment Schemes Control Act, Companies Act, employment law
Meeting the competence, qualifications, and experience requirements to be registered as a Compliance Officer with the Financial Sector Conduct Authority would be advantageous
A thorough understanding and knowledge of compliance risk management and monitoring programmes
A thorough understanding and knowledge of the regulatory requirements impacting on the various businesses (e.g. FAIS, FICA, LTIA, PPR, POPIA)

Establishing, implementing, and maintaining a regulatory compliance management framework and function within the business in accordance with the overall risk management framework and group and license holder requirements.

Creation of compliance risk management plans and the monitoring of compliance in terms thereof
Management of compliance functions within the various regions of the business, where applicable, and external compliance providers
Conduct SOPs conformance testing on all SOPs relating to prevailing legislation and processes and track management actions developed to address issues identified
Drafting and implementation of compliance policies
Training of employees on compliance policies and legislation, including the drafting of training material
Advising business on regulatory changes
Complaint investigation and management
reporting of cash transactions and suspicious transactions
Maintain the operational Risk Register and track management actions
Manage, oversee and monitor Financial Advisory and Intermediary Services (FAIS) compliance
Responsible for the control of the Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) regulations
Provide Compliance reports to Management so as to mitigate risk and assess success

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