Senior Compliance Manager

2 weeks ago


Johannesburg, South Africa Kencorp Executive Search Full time

**Responsibilities**:

- Drafting, Adoption and Implementation of the Regulatory Universe annually
- Drafting, Adoption and Implementation of the Monitoring Plan annually
- Compiling and Reporting to various Regulators as required, timeously such as CRS (Annual), NCR (Form 39, Form 40, AFS, Annual Compliance Report, BBB-EE), FSCA
- (FAIS Rep Register, Annual Compliance Report, AFS, Online Reporting), HLAMDA (Quarterly Report, Annual Report), CIPC
- Drafting and obtaining Sign off EXCO Compliance Report -Quarterly
- Reporting to Head Office Internal Control, Legal and Compliance department as and when required
- Assisting the Chief Compliance Officer with various general compliance related matters
- Management of General Compliance Related Head Office documents with implementation or drafting applicable requirements
- Updating and Maintaining Regulatory Register
- Conducting training on various legislation, regulations or supervisory body
- requirements as and when required
- Conduct compliance monitoring, obtain sign off of Final Report and ensuring timeous remediation of identified findings, updating Compliance Findings Schedule
- Drafting, Adoption and Implementation of various policy and procedure
- Providing guidance/advise/recommendations/suggestions to business departments on various general compliance related matters
- Reviewing and providing guidance on various documents, agreements and other to business departments
- Conducting research on various legal and general compliance matters
- Creating awareness on various legal and compliance matters
- Liaising with various regulators such as PA, FSCA, SARB, SARS (CRS), NCR, etc.
- Attending external regulatory and industry meetings such as BASA, SARB, PA, PASA, FSCA, FSTC, IBA, etc.
- Conduct various Gap Analysis on various legislation, regulations and supervisory body requirements as well as implementation thereof
- Members of various internal committees
- Collation of SARB/ Prudential Authority requests and submission thereof timeously
- Attend to various regulator/ supervisory body surveys, questionnaires
- Obtaining recognition of Qualifications, Representatives or Key Individuals from FSCA
- Maintaining FAIS License by attending to various matters
- Assisting with maintenance of ODP License
- Providing information to various regulators/ supervisory bodies for requests or other information required
- Assisting with Company Secretarial matters such as addition/removal of directors
- Updating of COR 39, Annual Report & CM49, liaising Head Office Company Secretary
- Ensure all fees are paid timeously to various regulators
- Lead or Assist with Compliance Related Projects as and when required

**Requirements**:

- Bachelor's degree in Finance or Law
- Member of the Compliance Institute of South Africa
- Licensed Compliance Officer accreditation with the FSCA
- 5 years’ experience in regulatory compliance role working in a bank
- RE1/ RE 5 certified
- Experience in a FAIS environment is necessary
- Only SA Citizens will be considered



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