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Compliance Officer- Governance Framework

4 months ago

Sandton, South Africa Discovery Ltd. Full time

Business Unit:
Discovery Central Services
Function:Compliance
Date:22 May 2024- Discovery Group Compliance
Centre of Excellence- Compliance Officer

  • Governance Framework
  • About Discovery
Discovery's core purpose is to make people healthier and to enhance and protect their lives.

We seek out and invest in exceptional individuals who understand and support our core purpose, and whose own values align with those of Discovery.

Our fast-paced and dynamic environment enables smart, self-driven people to be their best.

As global thought leaders, Discovery is passionate about innovating in order to not only achieve financial success, but to ignite positive and meaningful change within our society.

- Key Purpose

The FAIS Centre of Excellence is a compliance function within Group Compliance that provides compliance oversight and advice to Discovery FSPs, Key Individual and Representatives.- The purpose of this role is to provide sound advice to FSPs in terms of legislation, to implement and maintain the FSP Governance Framework, be responsible for drafting and completion of all FSP reporting obligations, be responsible to manage and facilitate all FAIS-related regulatory engagements and submissions, attend to all legal obligations for FSPs, and ensure that the FSPs follow best practices and the compliance methodology.

- Areas of responsibility

Provide advisory notes to business on regulatory compliance matters, engage stakeholders on resolution of compliance matters and interpretation of legislation, and draft and review of compliance guidance notes.


  • Develop and review company policies, frameworks and processes in line with compliance best practice protocols and ensure that they are appropriate for the business and to obtain signoff.
  • Ensure all the licensing requirements for FSPs are completed, engage stakeholders and provide guidance and support to ensure licensing requirements are timeously met, monitor compliance with license conditions and restrictions and facilitate submissions to the regulator.
  • Facilitate the drafting of legal opinions and signoff, vetting of contracts, including consulting with legal firms as and when required.
  • Design, review and signoff compliance documents as and when required.
  • Keep abreast of regulatory developments and changes in the financial services industry, with particular focus on FAIS and all subordinated legislation and update and maintain the regulatory universe for the business.
  • Analyse regulatory changes and facilitate requests for comments on new and amended legislation.
  • Communicate regulatory requirements to stakeholders; and provide guidance and support on new and amended legislation.
  • Complete impact assessments and conduct workshops on new and amended legislation; and track implementation thereof.
  • Facilitate all regulatory engagements and provide support to engage with the regulatory and/or industry bodies on complex compliance queries, noncompliance issues, and fines and penalties.
  • Facilitate meeting interactions with the relevant business stakeholders and the regulatory and/or industry bodies; ensure that questionnaires and surveys are timeously completed by the FSPs.
  • Draft and compile submissions to the regulator such as but not limited to annual financial statements, payment of annual levies, etc. and ensure timeous submission to the regulator.
  • Responsible for drafting and review of all FSP reports to various committees, regulator and/or industry bodies and to obtain signoff.
  • Provide comprehensive reports and feedback to senior management and committees.
  • Provide support on projects such as new business initiatives and thirdparty interactions as and when required.
  • Skills and Personal Attributes
  • Sound understanding of compliance methodology, working knowledge of all elements comprising.
  • Problem solving skills and conflictmanagement of situations in a constructive and professional manner.
  • Ability to make rational judgements from the available information and analysis and provide considered and consistent advice.
  • Strong communication, reporting and presentation skills.
  • Ability to work as a team, understand the impact of decisions and be confident enough to raise concerns within the team and to senior management.
  • Strong research ability and attention to detail.
  • Detailed and technical expertise in the operation and governance requirements of FSPs.
  • Develop an effective network with business representatives and to build the necessary trust relationship with business representatives.
  • Writes in a wellstructured and logical way must have ability to write and review compliance policies and draft compliance guidance notes and reports with detail required to inform the business of regulatory requirements and potential impacts.
  • Able to work well under pressure.
  • Efficient time management skills, including quick turnaround time on quality work.
  • Education and Experience
  • Relevant tertiary education
  • Recognised