Compliance Officer

2 weeks ago

Cape Town, Western Cape, South Africa 5th Dimension Consulting Full time
Aug 30, 2023 | Financial Services

Job Role


Responsible for assisting the Compliance Manager in ensuring the implementation and maintenance of an effective and well-monitored regulatory compliance framework.


Responsibilities

  • Identification and risk rating of applicable laws and regulations.
  • Implementation and maintenance of the compliance framework and processes.
  • Compliance risk assessments, development and implementation of compliance risk management plans.
  • Developing and maintaining compliance monitoring plans.
  • Conducting compliance monitoring.
  • Compilation of internal and external compliance reports.
  • Implementation of remedial action.
  • Review regulatory training material to ensure that training requirements are met.
  • Provide compliance training.
  • Presenting to and engaging the relevant business areas on compliance feedback and corrective action.
  • Provide guidance on regulatory developments and group policies.
  • Assist with the promotion of a culture of compliance and awareness within Glacier by actively
- participating in compliance projects and training initiatives.

  • Working knowledge of the legislation.
  • Analyse and interpret regulation and legislation.
  • Ability to advise on legislation and understanding the impact that it has on business.
  • Ability to comment on regulatory developments and advise business on changes.
  • Ability to interact with industry bodies on legislation.
  • Timeous involvement in key regulatory projects in order to proactively provide compliance guidance to business.

Requirements:

_Qualifications_

  • FSCA recognised qualification
  • Applicable Regulatory exams
  • Member of the Compliance Institute of Southern Africa
  • Certified Compliance Practitioner (CPRAC)
- designation would be advantageous.

  • FSCA approved FAIS Category I & II Compliance Officer would be advantageous.

_Experience_

  • Minimum 13 years experience in Compliance
  • Working knowledge of the Generally Accepted Compliance Practice Framework
  • Compliance experience in relation to International / Offshore investments will be advantageous.

_Knowledge/ Skills_

  • A strong working knowledge of the Financial Services industry and its Regulatory environment (local and specific focus on Bermuda and Jersey Legislation).
  • A thorough understanding and knowledge of development and execution of Compliance Risk Management and monitoring plans.
  • Decision making skills.
  • Technical professional skills.
  • Report writing skills
  • Presentation skills
  • Computer Literacy
  • In depth understanding of Category III Financial Services Provider.

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