Head of Compliance/ Aml

2 weeks ago

Johannesburg, Gauteng, South Africa Scopemarkets Limited Full time

About Scope Markets:


Scope Markets is a rapidly expanding Group of companies providing online trading services, with regulated entities and operational hubs around the world.

Scope Markets aims to provide the best in class trading infrastructure to cater to the needs of all types of clients from the beginners to the very ultimate institutional traders.


Overall Purpose of Role:


This role requires performance of monitoring of the adequacy and effectiveness of the compliance measures and procedures of the Company and involves executing various compliance and AML tasks assigned.


Responsibilities:

  • Liaising with applicable Regulators.
  • Assist and supervising the external Compliance Officers (if any) and ensure that areas of noncompliance are addressed;
  • Ensure business processes and procedures are compliant
  • Preparation, updating and customization of the Company's compliance policies and procedures, including the relevant compliance manuals and plans, keeping them in line with regulatory requirements.
  • FSCA Compliance Reporting for both FSP and ODP license
  • Submission of Annual Financial Statements
  • Complaint's handling
  • Maintain and update Complaint registers upon receipt of complaints
  • Communicate effectively, provide support and create awareness with managers and recommend improvements to minimise risk and recommend best practices.
  • Managing of FSCA Queries for both FSP License and ODP license
  • General Administration duties
  • Maintenance of records
  • Reviewing all KYC, AML and CFT manuals of the Company and making all changes necessary to ensure effective onboarding and ongoing monitoring of clients, including facilitating the risk profiling of clients prior to onboarding.
  • Being responsible for the Company's customer onboarding strategy including customer risk profiling and ongoing monitoring.
  • Ensure that remedial actions are being implemented for FSP and ODP licenses.
  • Handling any Internal projects
  • Implementation of all operational and compliance procedures for the FSP and ODP license
  • Coordinating and managing the regulatory affairs of the Company and managing the regulatory relationship between the Company and the FSCA
  • Preparing all ongoing, periodic, adhoc reports to be submitted to the South African Financial Sector Conduct Authority and/ or the South African Financial Intelligence Centre and/ or any other regulatory authority based on the two licenses the company has.
  • Preparing compliance reports for the board of directors and the Group Exco of the Company
  • Working closely with teams, especially the Group Compliance Department developing business goals, schedules and executing successful compliance programs and policies
  • Liaising with the Chief Compliance Officer
  • Attending biweekly meetings with the Chief Compliance Officer and reporting tasks, reports or anything that is required
  • Undertaking regulatory compliance audits and compliance due diligence reviews.
  • Providing oversight and support during regulatory examinations.
  • Being responsible for any and all compliance/ antimoney laundering matters relating to the Company.
  • Reviewing compliance risk management and internal controls around the business processes of the Company.
  • Managing the Company's whistleblower facility and preparing and filing the necessary returns and reports that are required for Anti-Money Laundering purposes, to the South African Financial Sector Conduct Authority and/ or the South African Financial Intelligence Centre and/ or any other regulatory authority.
  • Coordinating the Company's compliance training program and ensuring all relevant staff have been trained accordingly.
  • Drafting and implementing the Compliance/AML Risk Assessment Plan provided by the Group Compliance Team
  • Overseeing and approving AML remediation plans, as required.
  • Approving marketing material
  • Monitoring the Call Monitoring of Sales
  • Submitting MI Reports to the Chief Compliance Department
  • Monitoring FIC /AML / KYC requirements
  • Monitoring of Levy payments to the FSCA
  • Drawing up and implementing Risk Management Plans;
  • Monitoring of transactions
  • Ensuring all FICA requirements are met
  • Ensuring all ODP requirements are met
  • Act as a data protection officer and assist on implementation and perform oversight on compliance with Protection of Personal Information Act (POPIA).

Skills and Competencies:

  • Highly organized, rigorous, methodical, and focused.
  • Excellent knowledge of the English Language both written and oral.
  • Analytical ability, and a problem solver with the ability to think out of the box.
  • Possess the ability to multitask and prioritize
  • Ability to work under pressure

Educational / Experience Requirements:

  • Graduate with a Law degree from an accredited University.
  • A minimum of 3 years' compliance experience in a similar role or within the financial industry.
  • Knowledge of South Africa Legislation/ ODP
  • Excellent command of English language, b

  • Head Aml, Cft

    2 weeks ago

    Johannesburg, Gauteng, South Africa Nedbank Full time

    Requisition Details & Talent Acquisition Contact REQ Tshego Semenya Closing date: 6 April 2023Cluster Group RiskCareer Stream REGULATORY COMPLIANCELeadership Pipeline Manage ManagersPosition Head AML, CFT & Sanctions SubsidiariesJob Purpose To lead, direct, drive, manage, provide advice and input into research, analysis, interpretation, development, and...

  • Aml / Cft Officer

    2 weeks ago

    Johannesburg, Gauteng, South Africa Kencorp Executive Search Full time

    Responsibilities: Ensure the Bank is compliant with all AML/CFT legislation, regulatory and supervisory requirements, including Sanctions Compliance as well as aspects that overlap with other financial crimes Responsible for overseeing and managing the daily operations of the AML/CFT team Monitor and compile relevant reports to stakeholders, including senior...

  • Head Aml, Cft

    2 weeks ago

    Johannesburg, Gauteng, South Africa Nedbank Full time

    Requisition Details & Talent Acquisition Contact REQ Tshego Semenya Job Family Group Risk Leadership Pipeline Manage Managers (MM)Position Head AML, CFT & Sanctions BAUJob Purpose To lead, direct, drive, manage, provide advice and input into research, analysis, interpretation, development and maintenance of AML, CFT,CPF and sanctions Business as Usual (BAU)...

  • Head AML, CFT, Sanctions

    2 weeks ago

    Johannesburg, Gauteng, South Africa Nedbank Full time

    Requisition Details & Talent Acquisition TeamREQ Tshego SemenyaClusterGroup RiskCareer StreamRegulatory ComplianceLeadership PipelineManage Others (MO)PositionHead AML, CFT, Sanctions & Excon MonitoringJob PurposeTo supervise, analyze, and track regulatory and global best practice risk indicators, trends, typologies, controls, and systems related to money...

  • Aml Analyst

    2 weeks ago

    Johannesburg, Gauteng, South Africa Curiska (Pty) Ltd Full time

    Requirements:- Prior financial services experience, preferably in an investment or platform-based environment:2-3 years experience in compliance, ideally with AML compliance experience:- Knowledge of money laundering regulations in the UK and/Or FICA:Preferably knowledge of the (UK) JMSLG guidance:- Knowledge of customer and enhanced due diligence,...

  • Specialist Aml Investigations

    2 weeks ago

    Johannesburg, Gauteng, South Africa Absa Bank Limited Full time

    Bring your possibility to life Define your career with us With over 100 years of rich history and strongly positioned as a local bank with regional and international expertise, a career with our family offers the opportunity to be part of this exciting growth journey, to reset our future and shape our destiny as a proudly African group.Job SummaryTo take...

  • Head of Acquisition

    2 weeks ago

    Johannesburg, Gauteng, South Africa Head of Digital Full time

    ur client a reputable gaming industry currently seeks a Head of Aquisitions Paid media for a strategic, data-driven & creative Head of Acquisition.We're looking for the best in the business and someone who has deep exposure to working within a digitally native business.The Head of Acquisition will report to the Chief Growth Officer and will work hand-in-hand...

  • Anti - Money Laundering (Aml) Analyst

    2 weeks ago

    Johannesburg, Gauteng, South Africa Edge Executive Search Full time

    An urgent fixed-term contract opportunity is available for an Anti-Money Laundering (AML) Analyst to join the Risk and Compliance team at our client in the financial services sector.Key Duties: Undertaking client due diligence checks and determining the nature and level of due diligence required in order to comply with the Financial Intelligence Centre Act...

  • Junior Anti Money Laundering Manager

    2 weeks ago

    Johannesburg, Gauteng, South Africa Kencorp Executive Search Full time

    Responsibilities: Assisting the Head of AML team with all relevant and necessary AML/CFT work for the Branch which includes but not limited to:AML monitoring from AMLMAS system Training of business departments on AML/CFT as well as other regulations as they become necessary. AML projects as they become relevant Liaising with Head Office on various AML...

  • Business Compliance Officer

    2 weeks ago

    Johannesburg, Gauteng, South Africa Standard Bank Of South Africa Limited Full time

    Location: ZA, GP, Johannesburg, Baker Street 30 To enable the execution of Compliance Risk Management processes and activities within a specific business/functional area, to ensure that the area is undertaken in a compliant manner to avoid operational losses, fines, penalties or reputational damage to the organisation and enable the competitive advantage of...

  • Senior Manager- Aml Risk

    2 weeks ago

    Johannesburg, Gauteng, South Africa Nedbank Full time

    Requisition Number and Talent Acquisition Contact REQ:132882 Location: Sandton, JohannesburgClosing Date: 20 March 2024- Talent Acquisition:Saranya Govender Job Family Risk, Audit and Compliance Career Stream Regulatory Compliance Leadership Pipeline Manage Others (MO)Job Purpose The management of money laundering, sanctions and Financing of Terrorism risks...

  • Head Of Compliance

    2 weeks ago

    Johannesburg, Gauteng, South Africa Outsidecapital Full time

    Are you based in the United States? Select your country to see jobs specific to your location.Head of Compliance - Gauteng, JohannesburgOur client is seeking a strategic and proactive Head of Compliance to ensure the company remains at the forefront of regulatory adherence and ethical practices. This role is a unique opportunity to steer the compliance...

  • Head - Compliance

    2 weeks ago

    Johannesburg, Gauteng, South Africa Amicorp BPO Full time

    The role holder will be responsible for directly managing and leading the Group's Compliance teams based in central offices (India, Mauritius) as well as the Local Compliance Officers (LCO's) and Anti- Money Laundering Officers (MLROs) of all business lines and jurisdictions. The role holder will ensure that the whole Compliance function operates as one team...

  • Compliance Officer

    2 weeks ago

    Johannesburg, Gauteng, South Africa Gauteng Partnership Fund Full time

    JOB LEVEL :Paterson grade C BandKEY PERFORMANCE AREASCompliance Implementation Conducts reviews of and implements the approved compliance framework Develops a comprehensive compliance programme and monitoring plan that is integrated with the GPF's strategic planning processes Develops appropriate compliance awareness tools Delivers compliancerelated...

  • Compliance Manager

    2 weeks ago

    Johannesburg, Gauteng, South Africa Kencorp Executive Search Full time

    Responsibilities Attending to drafting and advising on various contracts and agreements for the different departments within the Bank with regards to, but not limited to, the Bank's corporate lending business and Financial Markets business. Ensure compliance with all Acts and Regulatory requirements Providing legal opinions to businesses as and when they...

  • Compliance Head

    2 weeks ago

    Johannesburg, Gauteng, South Africa FirstRand Full time

    Job DescriptionHello Future Compliance Head IWelcome to FNB, the home of the #changeables. We design for the shapeshifters and deliver products and services that make us incredibly proud of people that make it happen.As part of our talent team, you will be surrounded by unique talents, diverse minds, and an adaptable environment that lives up to the promise...

  • Head of Compliance

    2 weeks ago

    Johannesburg, Gauteng, South Africa Believe Resourcing Full time

    OUR CLIENT:A global leader in the BPO sector offering world-class CX and Service Centres at all their locations.They service industries such as eCommerce, Retail, Food Delivery, and Technology.Main Purpose of the Role: Our client's compliance business unit is responsible for preventing, detecting, and mitigating- compliance, regulatory and reputational risk...

  • Compliance Head

    2 weeks ago

    Johannesburg, Gauteng, South Africa Wesbank Full time

    Job DescriptionHello Future Compliance Head IWelcome to FNB, the home of the #changeables. We design for the shapeshifters and deliver products and services that make us incredibly proud of people that make it happen.As part of our talent team, you will be surrounded by unique talents, diverse minds, and an adaptable environment that lives up to the promise...

  • Head: Aml, Cft, Sanctions, Proliferation Finance

    2 weeks ago

    Johannesburg, Gauteng, South Africa Nedbank Full time

    Job Purpose To manage, analyse, and monitor and report on regulatory, international best practice and reputational risk indicators, trends, typologies, controls and systems, associated with money laundering, terrorist financing, sanctions, proliferation finance, reputational and exchange control risk management and compliance, to ensure regulatory and...

  • Head of Finance and Compliance

    2 weeks ago

    Johannesburg, Gauteng, South Africa RPO Recruitment Full time

    RPO Recruitment is seeking a highly skilled and experienced Head of Finance and Compliance to join our client's team. As the Head of Finance and Compliance, you will be responsible for overseeing all financial operations and ensuring compliance with regulatory requirements. You will work closely with the executive team to develop and implement financial...