Compliance Guide Officer

7 months ago

Johannesburg, South Africa The Focus Group Full time

**CLIENT**

One of the largest JSE listed Financial Services Group, with a company culture that supports employee growth, development and performance reward

This role falls within **Group Compliance department** - focus is to ensure that CLIENT Group’s core purpose and reputation is protected. The ambition of the Group Compliance department is to be the most respected and trusted compliance practice in the financial services sector. The department must be visible, trusted and respected.

**JOB PURPOSE**

To effectively and proactively assist the **CLIENT’s Invest Product Team** in managing its responsibility to comply with all the regulatory requirements and minimize the compliance risks identified in business by implementing compliance risk management process that includes the identification, assessment, management, monitoring and reporting of compliance risks that are faced by the relevant stakeholder. In addition to the above, the role also requires engagement with the regulatory bodies from time to time

**IDEAL CANDIDATE**

Strong compliance related experience (at least 3 years) with in-depth understanding of FAIS Act, Especially CAT III and Long Term insurance Act as it related to underwritten INVESTMENT policies. Experience in Umbrella Funds or Investments related management preferred.

**JOB REQUIREMENTS**
- **Relevant tertiary qualification** (preferably in the legal or commerce field).
- The person must have a clear and **in-depth understanding of the FAIS Act (especially Cat III) and the Long
- Term Insurance Act as it relates to the underwritten investments policies).**:

- **Umbrella Funds, Investment and CATIII experience**:

- At least **3 years compliance-related**:

- Experience in **drafting Compliance Risk Management Plans and conducting Compliance monitoring**:

- EE policy will apply

**JOB RESPONSIBILITIES**
- Implementation of the Group Compliance Framework as relevant to the applicable Business Unit and advising on processes and suitable control frameworks to implement strategic regulatory obligations
- Provision of strategic guidance and support to the Business Units on the implementation of new and changed regulatory obligations and with the aim of ensuring that business objectives (strategic and operational) are aligned to the regulatory framework and exposure profile of the business
- Managing the Regulatory Profile and engaging with the Executive Management team on any incidents and exposures relating to its regulatory obligations
- Development and oversight of reports as well as setting of reporting standards to provide accurate pertinent compliance reports
- Project management in support of compliance requirements, implementation of systems, procedures, policies and training requirements
- Compliance monitoring of the applicable business unit compliance functions and assurance across the business units
- Assist management with identification and evaluation of compliance exposures and regulatory breaches
- Engagements with Regulators and with other interest groups in the Industry

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