Compliance Specialist

3 weeks ago

Midrand, South Africa J Brew Solutions (Pty) Ltd Full time

**Essential Skills Requirements**:

- Microsoft Office EXCEL, Word, PowerPoint, etc.
- Effective communication skills
- Time management and prioritisation
- 3-5 years working experience as a FAIS compliance officer (approved by the FSCA).
- Must meet the Compliance Officer registration requirements as outlined in the FAIS Act.
- In-depth understanding of Conduct Risk, FAIS, COFI, Conduct standards applicable to a Credit Provider and FSP

**Advantageous Skills Requirements**:

- A general understanding of the motor vehicle finance industry is desirable.
- Short-term insurance (Personal and Commercial lines) experience.
- Exposure to a cell captive environment is ideal.
- Ability to communicate and interact across all organizational levels.
- Ability to work under pressure and meet tight deadlines with minimum supervision.
- Good analytical and problem-solving skills.
- Good systematic process and administrative skills.
- Must display initiative & be a self-starter.
- Ability to manage multiple deliverables simultaneously,
- Conflict management.
- Big picture thinker.
- Ability to work with multiple stakeholders.

**Responsibilities**
- Implementation and compliance of risk management processes and governance framework within the entity as required for an authorized FSP.
- Management of the current compliance administration, including any fiduciary responsibilities and statutory reporting as required by the FAIS Act.
- Act with due care, skill, and diligence in the execution of all duties.
- Act within the standards and rules set by legislation.
- Fulfil contractual obligations as agreed to.
- Management and Oversight of statutory obligations of the FSP.
- Monitoring of compliance to FSCA relevant standards as issued from time to time, including current and future legislative requirements for an FSP.
- Guidance and support with FAIS /TCF / Market Conduct related customer and regulatory complaints.
- Stay abreast of, assess, inform, and report on regulatory changes impacting our FSP license.
- Develop and maintain regulatory relationship with Supervisory bodies, as may be required.
- Monitor and maintain the CPD competence register hours of Representatives and Key Individuals.
- Provide guidance and advice to the Organization, Representatives and Key Individuals regarding any FSP regulatory and conduct topics.
- Review and resolve Fit and Proper queries.
- ** Conduct Risk Dashboard project**:

- Refine and maintain current conduct risk performance indicators ("CRPI") under Conduct Risk Framework for the Conduct Risk Dashboard (CRD).
- Research and further refine the current CRPIs because of business processes which have an impact on the Conduct Risk statements.
- Define and develop new CRPIs.
- Enrich data lake to ensure desire CRPI reporting can be achieved.
- Develop thresholds through consultation with key stakeholders for all metrics to be incorporated into the CRD.
- Produce a stakeholder inclusive CRD to provide meaning management information.
- Review and maintain Conduct Risk Framework and relevant policies.
- Align to all TCF principles.

**Background**
- Matric
- Ideally, LLB/BCOM/BA Degree.
- Preferably a member of CISA.
- RE 5 ideals.

**Location**: Hybrid

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