Head: Compliance

1 month ago

Centurion, South Africa Momentum Investments Full time

**Introduction**

**Role Purpose**

We are seeking a highly experienced and dynamic Head of Compliance to join our reputable financial services company, specializing in investments and savings. As the Head of Compliance, you will play a critical role in ensuring that our organization adheres to all relevant regulatory rules, regulations, and policies. This key leadership position requires a deep understanding of compliance principles, strong leadership capabilities, and a track record of successful regulatory management in the financial services industry.

**Requirements**:

- Bachelor’s degree in Finance, Business Administration, Law, Investments or a related field. An advanced degree is a plus.
- Minimum of 10 years of experience in compliance within the financial services industry, with a focus on investments.
- Exposure to FAIS, FICA, POPIA, PFA, LTI, CISCA.
- In-depth knowledge of relevant regulatory rules and guidelines.
- Minimum of 3 years of successfully managing compliance functions, with a demonstrated ability to implement effective compliance programs.
- Strong leadership and management skills, with experience leading and developing teams.
- Exceptional analytical and problem-solving abilities, with the capacity to make well-informed decisions.
- Excellent communication and interpersonal skills, with the ability to engage with stakeholders at all levels of the organization.
- High ethical standards and a commitment to upholding the integrity of the organization.

**Duties & Responsibilities**
- **Compliance Oversight**: Oversee and manage all compliance-related activities within the organization, ensuring full adherence to regulatory standards and industry best practices.
- **Policies and Procedures**: Develop, implement, and update compliance policies, procedures, and manuals, ensuring alignment with changing regulations and industry guidelines.
- **Regulatory Monitoring**: Keep abreast of all relevant laws, regulations, and directives related to the financial services and investment industry. Proactively assess the impact of these changes on the organization and recommend necessary adjustments.
- **Internal Compliance Training**: Design and conduct compliance training programs for employees at all levels, promoting a strong compliance culture throughout the organization.
- **Risk Assessments**: Ensure that the team conduct regular compliance risk assessments to identify potential gaps and weaknesses. Ensure compliance plans address and mitigate identified risks.
- **Reporting and Documentation**: Oversee the preparation and submission of regular compliance reports to senior management and regulatory bodies, ensuring accurate and timely reporting of compliance activities.
- **Internal Controls**: Review and enhance internal control processes to prevent compliance violations and identify areas for improvement.
- **Compliance Investigations**: Lead and oversee compliance investigations as required, ensuring thorough and impartial analysis of reported compliance concerns or incidents.
- **External Relations**: Act as the primary point of contact for regulatory agencies, responding to inquiries and requests for information in a timely and professional manner.
- **Compliance Audits**: Coordinate and manage internal and external compliance audits, cooperating with auditors to address findings and implement necessary corrective actions.
- **Team Management**: Provide strong leadership and mentorship to the compliance team, fostering a collaborative and high-performing environment.
- **Strategic Alignment**: Ensure the compliance team is aligned with the strategic outcomes of the organization.

**Competencies**
- Professional certifications such as Certified Regulatory Compliance Manager (CRCM) or Certified Anti-Money Laundering Specialist (CAMS).
- Experience with compliance technology and software tools.
- Prior experience in a similar role within an investments company, asset management firm or administrative FSP.
- Experience in CAT ll/lll is a core requirement.
- Experience in CIS MANCO environment with pension fund and life insurance experience beneficial.

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