Regulatory Compliance Specialist
3 weeks ago
Responsibilities and Contributions:
- Ensure compliance with relevant licenses, initiating and contributing to the review and maintenance of Compliance Requirement Universe.
- Review critical MI policies related to regulatory compliance.
- Assist in developing Compliance Monitoring Plans and maintain breach management processes.
- Ensure accurate reporting of compliance activities and non-compliance instances.
- Engage with stakeholders including regulators, auditors, clients, and industry bodies.
- Initiate and oversee critical statutory projects relevant to assigned areas.
- Offer support services to stakeholders, including awareness training and professional guidance.
- Provide advice on compliance requirements and assist in preparing statutory applications.
- Support compliance input in business projects to ensure successful implementation.
- Coach junior staff and contribute to skills development and knowledge sharing within the Regulatory Compliance team.
Experience and Qualifications:
- Bachelors degree in relevant field (Law Degree preferred).
- Relevant Compliance qualifications and certifications, with experience as an appointed compliance officer for CAT III license preferred.
- Strong familiarity with FAIS, LTIA, PPRs, and/or CISCA. Exposure to FICA, PFA, POPIA beneficial.
- Minimum 5-8 years of relevant compliance/risk management experience in an Asset Manager/CIS Manco/LISP environment.
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