Compliance Officer

4 months ago

Sandton, South Africa TalentCru Full time

The Compliance Officer is responsible for assisting and supporting SBUs/Departments in complying with all applicable regulatory requirements (i.e. Laws, Regulations and Supervisory requirements (i.e. rules, codes and self-regulatory organizational standards) applicable to the organization by facilitating the implementation, management and maintenance of the compliance methodology.

QUALIFICATION

•    Commerce or Legal degree or equivalent

KNOWLEDGE SKILLS

•    5 to 8 years relevant and practical compliance risk management or legal experience
•    Member of the Compliance Institute of Southern Africa

COMPLIANCE RISK IDENTIFICATION AND ASSESSMENT

  • Conduct formal Compliance Risk Profile workshops to identify and assess the total universe of regulatory requirements applicable to the organization and its Business Unit/Depts.
  • Conduct informal Compliance Risk Profile reviews to identify amended and/or new regulatory requirements and update the Compliance Risk Profile/s accordingly in support of the overall client's Compliance Risk Profile.
  • Stay abreast of amended and/or new regulatory requirements, and pro-actively identify and communicate the impact of the anticipated regulatory change on the organization and its Business Units/Depts.
  • Compile and continuously update, manage and execute an SBU/Dept. Compliance Coverage Plan, detailing the compliance risk identification, assessment, management, monitoring and reporting activities to be undertaken for a financial year.

COMPLIANCE RISK MANAGEMENT

  • Compile Compliance Risk Management Plans for the applicable regulatory requirements.
  • Review, manage and update existing Compliance Risk Management Plans when so required, but at the least once every two years.
  • Provide compliance advice to the SBUs/Depts on the requirements stipulated within the compliance-owned policies, the regulatory control environment (existing and/or new) and the ways in which to minimize the impact of occurred non-compliance.
  • Participate in projects to identify applicable compliance risks and advise on the management and mitigation thereof.
  • Undertake compliance awareness activities such as:
  • contributing articles to in-house publications;
  • distributing interesting and relevant articles; and conducting presentations to the SBUs/Dept. on applicable regulatory requirements to support the embedment and enhancement of a culture of compliance.

COMPLIANCE RISK MONITORING

  • Plan, manage and conduct compliance monitoring (i.e. control adequacy reviews, control effectiveness reviews, control self-assessment questionnaires/sign-offs and/or control spot check reviews) on the applicable regulatory requirements.
  • Compile and discuss the Compliance Review Report with the SBU/Dept and agree the corrective actions to be taken, the person responsible for implementing the corrective actions and the due date for implementation.
  • Log all compliance findings on the Compliance Issues Log, manage and track the progress made by the SBU/Dept. in closing the finding/s and ensure that the Compliance Issues Log accurately reflects all amendments, supporting the integrity of the data reported on to the relevant governance committees.

COMPLIANCE RISK REPORTING

  • Compile and submit a Compliance Risk Profile Report to the SBUs/Depts.
  • Compile, agree and submit a SBU/Dept. Compliance Coverage Plan with/to the SBU/Dept.
  • Compile, manage, discuss and agree the Control Adequacy Review Report and/or Control Effectiveness Review
  • Report and/or Control Self-Assessment Review Report and/or Control Spot Check Review Report with the SBU/Dept.
  • Compile and submit a quarterly SBU/Dept. Compliance Report, detailing the status of the Management of the compliance risks within the SBU/Dept.

 

TECHNICAL/FUNCTIONAL COMPETENCIES

Planning and Organizing
Project Management Skills
Strong Analytical Skills
Presentation skills
Stakeholder Engagement Skills
Negotiating and Influencing

BEHAVIOURAL COMPETENCIES


Attention to detail. 
Highly Ethical and integrity. 
Good Communication skills

 

 

  • Compliance Officer

    6 months ago

    Sandton, South Africa Ericsson Full time

    **About this opportunity** We are looking for a **Compliance Officer** to assist us on our journey to sustainable compliance program that would be fully embedded in Ericsson’s culture and ways of working. The Compliance Officer duties will focus on continuously enhancing our culture of integrity, promoting awareness and alignment in the organization, and...

  • Compliance Officer

    4 months ago

    Sandton, South Africa Central Energy Fund Full time

    The purpose of the Compliance officer is to ensure that CEF SOC operates within legal and ethical boundaries, safeguarding its reputation and ensuring sustainable business practices. **REQUIRED MINIMUM QUALIFICATIONS AND EXPERIENCE** - Minimum 9 years demonstrated experience in legal compliance and compliance monitoring of which 3 -5 years must be at...

  • Compliance Monitoring Officer

    6 hours ago

    Sandton, South Africa Frogg Recruitment Full time

    **Compliance Monitoring Officer Sandton** Our well-established client is looking for a young Compliance Monitoring Officer with 4-5 years of experience with a relevant Compliance qualification. **Salary**: Market-Related CTC **Minimum Requirements**: - Certificate in Compliance Management; or - CPrac (SA) - Compliance Practitioner designation from CISA;...

  • Compliance Officer

    1 week ago

    Sandton, South Africa Momentum Securities 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. We help people grow their savings,...

  • Compliance Officer

    6 hours ago

    Sandton, South Africa Dante Personnel Full time

    Gauteng, Sandton - (Market related) A financial institution in Sandton is looking for a COMPLIANCE OFFICER to join their team **Minimum requirements**: The successful applicant will require the following qualifications, experience and competencies: - Grade 12/Matric - Bachelors Degree - Advanced Diploma in Law advantageous - Minimum of 3 - 5 years’...

  • Investment Compliance Officer

    4 weeks ago

    Sandton, South Africa Frogg Recruitment SA Full time

    Investment Compliance Officer SandtonA well-established Asset Management client seeks an Investment Compliance officer with 4+ years of experience. Must have solid Investment Compliance experience and a strong interest in continuing a career in Investment Compliance.Salary: Market-relatedRequirements:Matric with relevant qualification4+ years’ experience...

  • Compliance Officer

    4 months ago

    Sandton, South Africa IDC Full time

    The Compliance Officer is responsible for assisting and supporting SBUs/Departments in complying with the all applicable regulatory requirements (i.e. Laws, Regulations and Supervisory requirements (i.e. rules, codes and self-regulatory organizational standards) applicable to the IDC by facilitating the implementation, management and maintenance of the...

  • Investment Compliance Officer

    2 months ago

    Sandton, South Africa FROGG Recruitment Full time

    Investment Compliance Officer SandtonA well-established Asset Management client seeks an Investment Compliance officer with 4+ years of experience. Must have solid Investment Compliance experience and a strong interest in continuing a career in Investment Compliance.Salary: Market-relatedRequirements:Matric with relevant qualification4+ years’ experience...

  • Investment Compliance Officer

    2 months ago

    Sandton, South Africa Frogg Recruitment SA Full time

    Investment Compliance Officer SandtonA well-established Asset Management client seeks an Investment Compliance officer with 4+ years of experience. Must have solid Investment Compliance experience and a strong interest in continuing a career in Investment Compliance.Salary: Market-relatedRequirements:Matric with relevant qualification4+ years’ experience...

  • Investment Compliance Officer

    2 months ago

    Sandton, South Africa Frogg Recruitment SA Full time

    Investment Compliance Officer Sandton A well-established Asset Management client seeks an Investment Compliance officer with 4+ years of experience. Must have solid Investment Compliance experience and a strong interest in continuing a career in Investment Compliance. Salary: Market-related Requirements: Matric with relevant qualification4+ years’...

  • Junior Compliance Officer

    7 months ago

    Sandton, South Africa B6 Group Full time

    **Job Posting: Junior Compliance Officer** **Position**: Junior Compliance Officer **Location**: Sandton, Johannesburg **Company**: Global Twelve Pty Ltd **About Us**: Global 12 is a trailblazing digital offshore bank, engineered to transform the financial sector by offering a comprehensive solution for banking, cryptocurrency exchange, credit card...

  • Compliance Officer

    4 weeks ago

    Sandton, South Africa TalentCru Full time

    The Compliance Officer is responsible for assisting and supporting SBUs/Departments in complying with all applicable regulatory requirements (i.e. Laws, Regulations and Supervisory requirements (i.e. rules, codes and self-regulatory organizational standards) applicable to the organization by facilitating the implementation, management and maintenance of the...

  • Gaming Compliance Officer

    1 month ago

    Sandton, South Africa Initiate International Full time

    Job Title: Gaming Compliance OfficerWe are seeking a skilled Gaming Compliance Officer to join our team at Initiate International in Johannesburg.Company Overview: Our client is a fast-growing company in the online gaming industry. As a Gaming Compliance Officer, you will play a crucial role in ensuring that our operations comply with regulatory standards...

  • Compliance Officer

    4 months ago

    Sandton, South Africa TalentCru Full time

    The Compliance Officer is responsible for assisting and supporting SBUs/Departments in complying with all applicable regulatory requirements (i.e. Laws, Regulations and Supervisory requirements (i.e. rules, codes and self-regulatory organizational standards) applicable to the organization by facilitating the implementation, management and maintenance of the...

  • Compliance Officer: Go: Ls: Compliance: Houghton

    7 months ago

    Sandton, South Africa Sanlam Full time

    **Who are we?** Sanlam Life and Savings (SLS) is focused on serving our retail and corporate clients in South Africa and further developing our strategic advantages in the South African market. Sanlam Life and Savings consists of three clusters - Sanlam Corporate, Sanlam Retail Mass and Sanlam Retail Affluent. The Sanlam Life and Savings Office provides...

  • Legal and Compliance Officer

    9 months ago

    Sandton, South Africa EMPIRE RECRUITMENT Full time

    An investment firm requires the expertise of a Legal and Compliance Officer. The candidate shall have:Three years’ post qualificationExcellent team working skillsAppetite to work with service providers in multiple jurisdictionsAppetite to take on new tasks and gain experience in new areas The role shall include:Money Laundering Reporting Office...

  • Senior Fica Compliance Officer

    3 months ago

    Sandton, South Africa Broll Property Group Full time

    **Job Purpose**: To form part of Compliance Function in Risk and Compliance team. A compliance officer is an individual who ensures that a company complies with its outside regulatory and legal requirements as well as internal policies and bylaws. Compliance officers have a duty to their employer to work with management and staff to identify and manage...

  • AML Compliance Officer

    1 week ago

    Sandton, South Africa TalentCru Full time

    Job DescriptionTalentCru is seeking a highly skilled AML Compliance Officer to join our team in the United States. The successful candidate will be responsible for assisting and supporting the IDC, including relevant subsidiaries, in complying with all local and international AML/CTF and Sanctions legislation.The ideal candidate will have at least 8-10...

  • Auditing and Compliance Officer

    1 week ago

    Sandton, South Africa TalentCru Full time

    About the RoleWe are seeking an experienced Auditing and Compliance Officer to join our team at TalentCru. As a key member of our finance operations team, you will be responsible for ensuring compliance with internal systems and procedures.Salary Range: $90,000 - $130,000 per annumKey Responsibilities:Prepare and review AFS documents for accuracy and...

  • Junior Compliance Officer/ Aml

    6 months ago

    Sandton, South Africa Global 12 Pty Ltd Full time

    **Position**: Junior Compliance Officer **Location**: Sandton, Johannesburg **Company**: Global Twelve Pty Ltd **About Us**: Global 12 is a trailblazing digital offshore bank, engineered to transform the financial sector by offering a comprehensive solution for banking, cryptocurrency exchange, credit card services, international security trading, and...