COMPLIANCE OFFICER

13 hours ago

Pretoria, South Africa HR Genie Full time

Permanent position situated in Bellville or Bloemfontein or Pretoria.

Your formal education:

  • Related degree (LLB, Bachelors in Law, Finance, Economics, Business Management or related fields).
  • RE1
  • Registered Phase 1 Compliance Officer with the FSCA
  • RE3 and/or Certificate in Compliance Management (advantageous)

together with 3-5 years related experience in a compliance function in the financial services with working knowledge of investments, health benefits, non-life (short-term) insurance and long-term insurance (being an advantage) together with being bilingual (fluent in English and Afrikaans)

will enable you to:

People:

  • Training and Education:
    • Ensuring that all employees understand the compliance policies and relevant laws and regulations. This includes developing and delivering training programs on compliance-related topics.
  • Communication:
    • Acting as the point of contact for compliance-related questions and building strong relationships with financial advisors. Providing clear and accessible guidance to employees and financial advisors on compliance matters.
  • Fostering a Compliance Culture:
    • Promoting a culture of compliance and ethical behavior within Company.

Processes:

  • Regulatory Risk Management support:
    • Develop and implement a compliance coverage plan based on the approved regulatory framework;
    • Implement all necessary actions as per the compliance plan to ensure achievement of the compliance plan objectives;
    • Assist the Compliance Manager in the maintenance of compliance policies, procedures and other compliance documentation.
  • Licensing and profile changes:
    • Ensure that license profile changes are submitted timeously to the Regulator.
  • Monitoring:
    • Conduct monitoring as per the agreed compliance coverage plan;
    • Monitor and or maintain all compliance registers;
    • Compile a monthly file monitoring schedule as per the monitoring plan and report findings to the Compliance Manager;
    • Liaise with internal departments, co-ordinate meetings with line managers and provide monitoring feedback to financial advisors.;
    • Conduct branch monitoring;
    • Review internal monitoring process and results, identify trends and risks for Company;
    • Escalate high risk findings to the Compliance Manager immediately.
  • Ad hoc support for Compliance projects:
    • Assist the Compliance Manager with any compliance project.
  • Reporting:
    • Assist Compliance Manager to compile internal compliance reports on all compliance activities, compliance risks;
    • Assist with reporting to the regulator and other industry bodies.
  • Recordkeeping:
    • Store all compliance records securely in a manner that allows for easy retrieval on SharePoint;
    • Correct naming conventions must be adhered to when documents are stored on SharePoint;
    • Maintain compliance documentation on the intranet.
  • Training and Awareness:
    • Assist Compliance Manager with compliance training and awareness initiatives.
  • General:
    • Stay abreast of regulatory matter by attending webinars en reading newsletters;
    • Attend regular compliance meetings as required.
    • Attend to general compliance queries from advisors as well as other departments within the company and escalating where necessary.

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