Head of Compliance

3 weeks ago

Cape Town, South Africa Charm Recruit Full time

The Head of Compliance responsible for monitoring and managing the dailycompliance works for all business activities, ensure to comply with the internalpolicies and external regulationsThe incumbent, working with our external compliance consultant to ensureregulatory FAIS and ODP requirements are effectively implemented withinbusiness. This role is to ensure effective monitoring of processes and relatedcontrols in accordance with compliance methodology and minimum standards.Accountabilities Overseeing compliance functions, ensure sufficient resources andtraining are in place to successfully discharge the objectives of thefunctions Monitoring and identifying regulatory developments, includingenforcement actions, new laws, regulations, rules and interpretations orguidance relating to the business of the firm Identifying potential compliance risk and actively advise management toimplement proper compliance program to address any potentialregulatory problems Leading and executing a risk-based AML compliance program to ensureongoing compliance with statutory and regulatory requirements Implementation and oversight of all aspects of AML systems, includingmonitoring effectiveness and enhancing the controls and procedureswhere necessary Serving as the primary point of contact for compliance communicationsFAIS Monthly FAIS Compliance Meeting Monthly Exco Meeting Bi-annual Board Meeting Maintain competence register Keep supervision forms up to date CTR and CTA report to FIC Check bank accounts daily for cash deposits Quarterly SARB reporting Review policies: Update and sign off by KI Fit & Proper declarations Liquidity calculations bi -annual BEE certificate Annual FSCA Levies payment Professional Indemnity and Fidelity Insurance POPIAODP Weekly meeting regarding compliance, risk Monthly meetings: EXCO, IT, Compliance and Risk Committees Monthly risk reports and screen shots Annual review of 3rd party providers Annual IT audit Annual supervisory review with FSCA Capital adequacy quarterly Monthly report of unconfirmed transactions Portfolio compression bi-annually Board meeting and prep bi-annually Review policies and procedures AnnuallyExperience & Skills Undergraduate degree or above and relevant professional qualificationsin regulatory compliance, banking, risk management, accounting, orequivalents 10+ years of experience in FAIS compliance, including 5+ years ofexperience in a decision-making function Solid working knowledge of current regulatory issues in South Africa:Regulatory Legislation and Financial Markets with a focus on ConductStandards 1 & 2, FAIS, AML, POPI, FMA, etc. Candidate with RE5 Qualification is a must

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