Junior Compliance

JUNIOR COMPLIANCE AND ETHICS OFFICER Purpose of this role Reporting to the Senior Compliance & Ethics Officer, the Compliance & Ethics Officer will assist in providing direction and assurance to COMPANY through the development and execution of an integrated Compliance & Ethics strategy and plan. The main purpose of this position is to assist the corporation to ensure compliance to legislation. Key Accountabilities, Measures & Interfaces Assist in providing direction and assurance for compliance within COMPANY. Assist in conducting Compliance reviews and assessments. Assist in communication Compliance and Ethics awareness; Assist in drafting Compliance and Ethics newsletters. Assist in circulating legal register to all related business unit. Contribute to the changes of the compliance universe. Assist in providing Compliance and Ethics training and advisory services. Assist in conducting ethics risk assessment, review the code or policies, establish systems or processes, launching communication campaigns, facilitating ethics workshops. Assist in drafting Compliance Reports including the enhanced due diligence business reports; Perform monitoring in accordance with PFMA, FAIS, Insurance Act, Short Term Insurance Act, Financial Sector Regulation Act, COMPANY legislation, Companies Act. Assist with the completion of CRMP’s. Assist in circulating the Compliance and Ethics declarations. Assist in maintaining and updating central compliance registers in a timely manner. Assist with other relevant general compliance monitoring. Key Measures Improved compliance to legislation Implementation of an ethics programme Key Interfaces Regulatory Stakeholders Staff Qualifications & Experience An LLB/BCom or related qualification RE 1 will be an added advantage A minimum of 2 years in the compliance environment in financial / banking industry Basic knowledge of South African regulatory frameworks working knowledge of Insurance Act 2017, Short-Term Insurance Act (STIA), Financial Sector Regulation Act, Financial Advisory and Intermediary Services Act (FAIS), Financial Intelligence Centre Act (FICA), King IV, Companies Act and PFMA is essential Registered Member of the Compliance Institute of South Africa will be an added advantage Skills & Abilities The incumbent should have demonstrated the following competencies: Excellent Microsoft Office skills; Excellent verbal communications, presentation and negotiation; Ability to communicate verbally and in writing at all levels Problem solving skills to identify issues and present creative and practical solutions; Excellent organizational skills, ability to prioritize assignments, and work effectively often under time pressure and with minimum supervision; Strict attention to detail and deadline orientated; Behavioural Competencies The incumbent is required to have the following Behavioural competencies: Problem Solving: Demonstrates adequate problem-solving skills and appropriately applies proven solutions. Business Acumen: Develops and uses a strategy to target own time (and time of others) on a portfolio of customers to maximize revenue and profitability. Delivery: Translates business objectives into practical, prioritised and organised action plans; ensures plans are safely and successfully implemented. Conflict Resolution; : Identifies and pushes for solutions in which all parties can benefit. Team Participation: Consistently offers relevant input to team discussions as issues are being clarified and solutions are being developed. Flexibility: Available to work more than ordinary business hours. #J-18808-Ljbffr