Assistant Compliance Officer

2 weeks ago

Cape Town, Western Cape, South Africa Old Mutual Full time

This role assists the business unit Compliance Officer to establish & embed a culture of compliance across the business unit through the development of compliance risk management & monitoring plans.

Ensures that applicable legislation is being complied with by staff across the business unit.
Regularly reviews & monitors compliance processes as well as day-to-day compliance to legislation & regulations.
Has a direct reporting line to the business unit Compliance Officer.
Understand and stay abreast of all legislation impacting the business, including assessing the impact of new legislation timeously.

  • Interpret that legislation and apply it practically within the business by assisting to implement it within business processes.
  • Answering questions from operations and being able to apply the legislation practically and finding solutions for the teams.
  • Review, update and implement the compliance risk management plan.
  • Compliance monitoring.
  • Assist with interactions with Regulators relating to licensing requirements, maintenance, and reporting as well as inspections and reviews.
  • Create and maintain a strong relationship with the business which will aid in fostering a positive compliance culture.
  • Communicate legislative requirements, assist with the resolution of queries, provide opinions on various scenarios.
  • Consolidate and manage all compliance deliverables across servicing areas and other BU reporting requirements
  • Reports on compliance breaches to BU/functional areas management and Compliance Officer.
  • Facilitates resolution of compliance breaches.
  • Assists in mitigation of compliance risk.
  • Reports to the Compliance Officer.
  • Utilises a wide scope of applicable legislation, including all primary legislation.
  • Create a culture of awareness regarding Compliance and Regulatory issues and assists business to implement the necessary controls.
Undertake compliance monitoring tasks and activities on compliance monitoring systems and applications.

Drafting of reports Following up on remediation in breaches Representation at various board meetingsManagement of stakeholdersDeveloping and building key relationshipsGap Analysis on impacts of new regulatory changesPro-active and self-starterKnowledge of regulatory landscape in financial servicesRole Requirements : Grade 12Minimum qualifications and experience as specified by regulation.

Retirement Funds Knowledge is Preferred.
Compliance Qualifications is advantageousRelevant compliance experience in the Financial Services industry.
Working knowledge and understanding of short and long term insurance, Pensions Fund Act.
SkillsEducationMatriculation Certificate (Matric)Closing Date12 June 2024

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