Compliance Officer

3 months ago

Cape Town, South Africa Allan Gray Full time

**Job summary**:

- The successful applicant will be part of the Regulatory Compliance Team and will be responsible for engaging with stakeholders, monitoring, and reporting compliance related issues to the business and the relevant Board committees and Boards where applicable.- The role will report to a Compliance Manager and work closely with the reporting Manager and other senior members of the team.

**Role responsibilities**:

- Drafting, maintaining, and enhancing Compliance Monitoring Plans (“CMPs”)
- Determining the amount, frequency and type of monitoring needed to satisfy the CMPs.
- Monitoring of relevant legislation/ internal rules and/ or policies impacting the business, including wider legislative, regulatory, company and industry standards, and pro-actively assists the business in implementing new and/or amended regulatory requirements.
- Draft and submit status, committee and/ or board reports.
- Track instances of non-compliance and liaise with responsible person(s) to ensure agreed action plans are implemented.
- Where necessary, interacting with regulators, industry bodies and internal/ external stakeholders.
- Review the training register to check whether comprehensive training programs have been implemented, and whether all the relevant personnel have been trained.
- Active participation in consultative and lobbying structures regarding legislative and regulatory developments.
- Responsible for the completion and/or maintenance of Regulatory Universe.
- Cultivates constructive relationships which results in the Business proactively seeking Compliance involvement.
- Developing and training Junior Compliance Officers.

**Competencies and attributes**:

- Good management and leadership ability.
- Methodical, thorough, and attentive to detail.
- Passionate, dynamic, proactive, and driven.
- Impartial and challenging (independent minded).
- Good ethical judgement.
- Excellent emotional intelligence.
- Ambitious and avid learner.
- Ability to work efficiently without close supervision.
- Team player.
- Adaptable and resilient.
- Self-motivated, organised and deadline driven.
- Excellent Microsoft Office skills - MS Outlook, Word, Excel, Visio, PowerPoint etc.

**Skills**:

- Effective negotiation and influencing skills.
- Strong analytical, investigative, problem solving and probing skills.
- Solid report-writing skills and presentation skills.
- Excellent communication and interpersonal skills, including communicating effectively with colleagues and external parties (clients, regulators, and industry bodies).
- Good time management skills

**Education and experience**:

- Legal and/or Commercial Degree,
- A minimum of 3-4 years Financial Services experience, specifically Investment Management.
- Relevant experience within the financial services industry, specifically relating to the operations of Category I, II and III FSPs, a CIS Manager, Long-Term Insurer and Pension Funds.
- Proficiency in the Financial Advisory and Intermediary Services Act, Collective Investment Schemes Control Act, relevant insurance legislation and relevant anti-money laundering legislation, and working knowledge of the Pension Funds Act and relevant data protection legislation.
- Passed the applicable FSCA Regulatory Exams advantageous.
- FAIS approved Compliance Officer with the FSCA advantageous.
- Compliance Professional registered with the Compliance Institute of South Africa will be advantageous.
- 1 Silo, V&A, Cape Town

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