Head of Compliance/ Aml

2 weeks ago

Johannesburg, South Africa Scopemarkets Limited Full time

**About Scope Markets**:
Scope Markets is a rapidly expanding Group of companies providing online trading services, with regulated entities and operational hubs around the world. Scope Markets aims to provide the best in class trading infrastructure to cater to the needs of all types of clients from the beginners to the very ultimate institutional traders.

**Overall Purpose of Role**:
This role requires performance of monitoring of the adequacy and effectiveness of the compliance measures and procedures of the Company and involves executing various compliance and AML tasks assigned.

**Responsibilities**:

- Liaising with applicable Regulators.
- Assist and supervising the external Compliance Officers (if any) and ensure that areas of non-compliance are addressed;
- Ensure business processes and procedures are compliant
- Preparation, updating and customization of the Company’s compliance policies and procedures, including the relevant compliance manuals and plans, keeping them in line with regulatory requirements.
- FSCA Compliance Reporting for both FSP and ODP license
- Submission of Annual Financial Statements
- Complaint’s handling
- Maintain and update Complaint registers upon receipt of complaints
- Communicate effectively, provide support and create awareness with managers and recommend improvements to minimise risk and recommend best practices.
- Managing of FSCA Queries for both FSP License and ODP license
- General Administration duties
- Maintenance of records
- Reviewing all KYC, AML and CFT manuals of the Company and making all changes necessary to ensure effective onboarding and ongoing monitoring of clients, including facilitating the risk profiling of clients prior to onboarding.
- Being responsible for the Company’s customer on-boarding strategy including customer risk profiling and ongoing monitoring.
- Ensure that remedial actions are being implemented for FSP and ODP licenses.
- Handling any Internal projects
- Implementation of all operational and compliance procedures for the FSP and ODP license
- Coordinating and managing the regulatory affairs of the Company and managing the regulatory relationship between the Company and the FSCA
- Preparing all ongoing, periodic, ad-hoc reports to be submitted to the South African Financial Sector Conduct Authority and/ or the South African Financial Intelligence Centre and/ or any other regulatory authority based on the two licenses the company has.
- Preparing compliance reports for the board of directors and the Group Exco of the Company
- Working closely with teams, especially the Group Compliance Department developing business goals, schedules and executing successful compliance programs and policies
- Liaising with the Chief Compliance Officer
- Attending bi-weekly meetings with the Chief Compliance Officer and reporting tasks, reports or anything that is required
- Undertaking regulatory compliance audits and compliance due diligence reviews.
- Providing oversight and support during regulatory examinations.
- Being responsible for any and all compliance/ anti-money laundering matters relating to the Company.
- Reviewing compliance risk management and internal controls around the business processes of the Company.
- Managing the Company’s whistle-blower facility and preparing and filing the necessary returns and reports that are required for Anti-Money Laundering purposes, to the South African Financial Sector Conduct Authority and/ or the South African Financial Intelligence Centre and/ or any other regulatory authority.
- Coordinating the Company’s compliance training program and ensuring all relevant staff have been trained accordingly.
- Drafting and implementing the Compliance/AML Risk Assessment Plan provided by the Group Compliance Team
- Overseeing and approving AML remediation plans, as required.
- Approving marketing material
- Monitoring the Call Monitoring of Sales
- Submitting MI Reports to the Chief Compliance Department
- Monitoring FIC /AML / KYC requirements
- Monitoring of Levy payments to the FSCA
- Drawing up and implementing Risk Management Plans;
- Monitoring of transactions
- Ensuring all FICA requirements are met
- Ensuring all ODP requirements are met
- Act as a data protection officer and assist on implementation and perform oversight on compliance with Protection of Personal Information Act (POPIA).

**Skills and Competencies**:

- Highly organized, rigorous, methodical, and focused.
- Excellent knowledge of the English Language both written and oral.
- Analytical ability, and a problem solver with the ability to think out of the box.
- Possess the ability to multi-task and prioritize
- Ability to work under pressure

**Educational / Experience Requirements**:

- Graduate with a Law degree from an accredited University.
- A minimum of 3 years’ compliance experience in a similar role or within the financial industry.
- Knowledge of South Africa Legislation/ ODP
- Excellent command of English language, b

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