COMPLIANCE OFFICER

3 weeks ago

Sandton, South Africa HR Genie Full time

Our client, with more than 20 years of experience within the financial services field and a nationwide footprint, is seeking a compliance officer who will ensure that the company operates within the legal and regulatory frameworks applicable to the financial services industry.

Location:

  • Bryanston

Formal Education:

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

Experience:

  • 3-5 years related experience in a compliance function in the financial services with working knowledge of non-life (short-term) insurance being an advantage

Duties:

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.

  • Compliance Officer

    4 weeks 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

    7 days 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

    2 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...

  • Risk & Compliance Officer

    1 week ago

    Sandton, South Africa Profession Hub Full time

    Our client is searching for a Risk & Compliance Officer to join their team in Sandton. (Hybrid)Main Purpose of RoleSupport the overall business strategy by managing the risk and compliance frameworks and programmes. Required Minimum Education / TrainingBcom / LLB / Postgraduate Diploma in Compliance preferred.Professional Risk Manager (PRM) certification is...

  • Compliance Officer Lead

    5 days ago

    Sandton, South Africa Nedbank Head Office Full time

    Job SummaryNedbank Head Office seeks a seasoned Compliance Officer Lead to spearhead regulatory compliance initiatives, ensuring the organization's adherence to relevant laws and regulations. This is an exciting opportunity for a motivated professional to join our team and contribute to maintaining the highest standards of integrity and governance.The ideal...

  • Senior Compliance Officer

    2 weeks ago

    Sandton, South Africa Guardrisk Full time

    **Introduction** - The Senior Compliance Officer will be responsible for monitoring and reporting results of compliance of all licenses and with laws, good governance prescripts, the rules and regulations of regulators, that company policies and procedures are being followed and that there is a compliance culture within the Group. **Disclaimer** - As an...

  • Compliance Officer: Go: Ls: Compliance: Houghton

    4 weeks 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...

  • Compliance Officer

    2 days ago

    Sandton, South Africa The Recruitment Council Full time

    We are looking for an experienced Compliance Officer - Key Individual to oversee the implementation of compliance programs across our client's insurance advice channels.About the Role:This is a critical position that ensures the effective management of Key Individual compliance risks.The successful candidate will be responsible for providing guidance on...

  • Chief Risk Officer

    3 days ago

    Sandton, South Africa Nedbank Head Office Full time

    Job Summary:Nedbank Head Office seeks a Chief Risk Officer - Legal Compliance to oversee the development and implementation of strategies to mitigate legal risk and drive business outcomes.The successful candidate will have extensive experience in legal compliance and risk management.They will possess strong leadership skills to drive the Legal and...

  • Compliance Officer

    6 days ago

    Sandton, South Africa The Marco Polo Full time

    Performing compliance monitoring on sites based on legislation, licence conditions and internal controls using a risk-based approach - Evaluating the adequacy of internal controls and amending as needed - Completion of detailed working papers, checklists and reports for all monitoring performed - Follow up on recommendations provided to sites to assess...

  • Compliance Officer

    3 days ago

    Sandton, Gauteng, South Africa Ubuntu Markets Full time

    **Company Overview:**Ubuntu Markets is a leading company in the Financial and Insurance Brokerage industries.We are seeking an experienced Compliance Manager to join our team.

  • Legal and Compliance Officer

    4 weeks ago

    Sandton, South Africa AJ Personnel Full time

    **Responsibilities** - Measure the Group’s compliance to legislation and report on all potential and actual compliance breaches - Facilitate the resolution of compliance breaches that reduces the risk to the Group - Maintain and update all compliance risk management plans for the Group Legal and Compliance Department - Resolve compliance issues by...

  • Senior Compliance Officer

    6 days ago

    Sandton, South Africa Guardrisk Group Full time

    Job OverviewGuardrisk Group seeks a highly skilled Senior Compliance Officer to join its team. The successful candidate will be responsible for monitoring and reporting on compliance with all licenses and laws, as well as ensuring good governance prescripts and regulatory requirements are met.The ideal candidate will possess a strong understanding of the...

  • Compliance Officer for Organisational Ethics

    6 days ago

    Sandton, South Africa Nedbank Head Office Full time

    Job OverviewNedbank Head Office is committed to maintaining a culture of integrity and respect. As an organisation, we believe in promoting a workplace where all employees feel valued, supported, and empowered to perform at their best.We are currently seeking a highly skilled Compliance Officer for Organisational Ethics to join our team. In this critical...

  • Compliance Expert

    6 days ago

    Sandton, South Africa Nedbank Head Office Full time

    Job OverviewNedbank Head Office is seeking a highly skilled Compliance Specialist to join our team. As a key member of our compliance department, you will play a critical role in ensuring the adherence to regulatory requirements and maintaining a strong risk management culture.

  • Compliance Expert

    7 days ago

    Sandton, South Africa Nedbank Head Office Full time

    Job OverviewNedbank Head Office seeks a skilled Regulatory Compliance Specialist to join our team. In this role, you will play a critical part in ensuring the company's adherence to relevant domestic and international legislation, thereby minimizing risk and protecting our reputation.

  • Specialist, Compliance Model

    2 weeks ago

    Sandton, South Africa Nedbank Head Office Full time

    Job Family: Risk, Audit, and Compliance Career Stream: Regulatory Compliance Leadership Pipeline: Manage Self FAIS Affected: No Job Purpose: To support the Head of Compliance Model and Professionalisation by being the principal source of training and support on Compliance Risk Management. This role involves the effective delivery of compliance risk model...

  • Head of Compliance Governance

    6 days ago

    Sandton, South Africa Guardrisk Group Full time

    Job SummaryThe Senior Compliance Officer will play a critical role in ensuring that Guardrisk Group meets all regulatory requirements and maintains a strong compliance culture.The ideal candidate will have a deep understanding of the legislative framework and have at least 3 to 6 years of experience in insurance compliance. A Compliance Management...

  • Head: Compliance

    4 weeks ago

    Sandton, South Africa Guardrisk Full time

    **Introduction** - Drive the development and implementation of best practice compliance strategies, frameworks and practices in collaboration with the compliance community across the Guardrisk Group (Guardrisk) as well as providing strategic compliance advice to Guardrisk.**Role Purpose** - Drive the development and implementation of best practice compliance...

  • Risk & Compliance Manager

    2 weeks ago

    Sandton, South Africa Profession Hub Full time

    Our client is searching for a Risk & Compliance Manager  to join their team in Sandton. (Hybrid) Main Purpose of Role Support the overall business strategy by managing the risk and compliance frameworks and programmes  Required Minimum Education / Training Bcom / LLB / Postgraduate Diploma in Compliance preferred. Professional Risk Manager (PRM)...