Regulatory Compliance Specialist

2 weeks ago

Centurion, Gauteng, South Africa Momentum Investments Full time

Introduction


Through our client-facing brands Metropolitan and Momentum, with Multiply (wellness and rewards programme), and our other specialist brands, including Guardrisk and Eris Property Group, the group enables business and people from all walks of life to achieve their financial goals and life aspirations.


Role Purpose


The purpose of this role is to, with the guidance and direction of the Head of Compliance; assist with the implementation and maintenance of the necessary processes and procedures in relation to all aspects of the relevant acts as agreed in order to provide assurance on the level of regulatory compliance within Momentum Investments (MI).

This role exist in the broader Momentum Investments eco-system and will report into the Head of Regulatory Compliance.

Requirements:

  • A relevant degree (Law degree preferred)
  • Relevant Compliance qualifications and certifications (experience as appointed compliance officer for CAT III license preferred)
  • Strong preference for experience in FAIS, LTIA, PPR's and / or CISCA. Exposure to FICA, PFA, POPIA beneficial.
  • At least 8 years relevant compliance/risk management experience in an Asset Manager / CIS Manco / LISP environment (working knowledge).

Duties & Responsibilities

Perspective:

Providing Assurance:

  • To provide assurance that the relevant licenses are compliant.
  • In order to achieve this, the following activities will be required:
  • Initiate and contribute to the review of, and properly maintain the Compliance Requirement Universe for the relevant acts assigned to this role for the applicable licenses in MI, in order to ensure the accuracy and completeness of this
  • Initiate and contribute to the review of all critical MI policies in relation to the relevant acts, as may be required from a regulatory compliance perspective, in respect of the areas specifically assigned to this role
  • Participate in the review and/or development of an appropriate Compliance Monitoring Plan for the relevant acts, in order to ensure completeness and accuracy. The proper maintenance of the Compliance Monitoring Plan must be initiated where appropriate; and cognisance to the combined assurance initiatives must be given during the review process. The Compliance Monitoring Plan must then be appropriately
  • Contribute to, implement and maintain, where appropriate in respect of the areas specifically assigned to this role, the regulatory compliance breach management and followup process which will at a minimum address the identification, analysis and resolution processes to be followed as well as the escalation procedures.
  • Contribute to, implement and maintain, where appropriate in respect of the areas specifically assigned to this role, the process to ensure that the reporting of compliance activities and instances of noncompliance, both internal and external, are relevant, complete, accurate and to the point, and submitted on time
  • Contribute to, initiate and maintain, where appropriate, in respect of the areas specifically assigned to this role, regular Interaction with internal and external stakeholders as well as the wider compliance community within the MMH Group.

Stakeholders include, amongst others, the following:
Regulators, Supervisors, Industry bodies, Internal & External Audit, Clients, Trustees, etc.

  • Contribute to the initiation of critical statutory projects relevant to the entity and act in question, in respect of the areas specifically assigned to this role and monitor the appropriate implementation thereof by the business.

Perspective:
Providing Support Services

  • To provide support services to all relevant stakeholders within MI (Value Add), in respect of the areas specifically assigned to this role
  • Contribute to, initiate and/or provide appropriate awareness and training in respect of the areas specifically assigned to this role. Activities may include, amongst others, informing the business of new compliance requirement developments, providing guidance on the potential impact thereof on MI, and to identify compliance risks/weaknesses in general for which the business should consider additional mitigating action, or processes and/or
  • Contribute to, initiate and/or provide professional advice and guidance to business as may be required from time to time, in respect of the areas specifically assigned to this
  • Participate in and/or contribute to the provision of appropriate support in respect of all projects initiated by the business which requires compliance's input, in respect of the areas specifically assigned to this role, in order to ensure successful implementation

Perspective:
People

  • Coaching of junior staff / Skills development and knowledge sharing
  • Contribute to and initiate skills development and knowledge sharing and training within the Regulatory Compliance team, in respect of the areas specifically assigned to this Activities, amongst others, may include the sharing of knowledg

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