Compliance, Head of Regional Compliance South

2 days ago

Johannesburg, South Africa Goldman Sachs Full time

Head of Regional Compliance for South Africa at a leading global financial services firm providing global markets, investment banking and private wealth management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world. The role will hold the Chief Compliance Officer and Money Laundering Reporting Officer designation for the region.Head of Regional Compliance for South Africa at a leading global financial services firm providing global markets, investment banking and private wealth management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. The firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centres around the world. The role will hold the Chief Compliance Officer and Money Laundering Reporting Officer designation for the region.

Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape.

**OVERSIGHT OF BUSINESS WITH THE FOLLOWING LICENCES**:

- FSCA Category 1 Licence activities
- Primary dealing in the bonds of the Republic of South Africa
- Authorised Dealer in foreign exchange
- Financial Services Provider
- OTC Derivatives Provider

**DUTIES AND RESPONSIBILITIES**
- Main regulatory contact for the South Africa region and responsible for maintaining strong relationships with all key regulators including the SARB, FSCA, JSE and others.
- Main Compliance contact in the region for key business stakeholders.
- Partnering with other key stakeholders in the region, such as Audit, Legal, and Operations.
- Advising, challenging and influencing those stakeholders as required in relation to Compliance matters.
- Oversight of a team providing Compliance support to the businesses in the region.
- Advising on how to conduct the firm’s business in the region in a manner that complies with the comprehensive array of rules, regulations and policies applicable.
- Coordinating regulatory exams, requests, inspections and visits.
- Identifying regulatory and/or reputational risk issues and managing the resolution of those issues.
- Providing Compliance oversight for trade surveillance purposes and monitoring as required by the FMA, FAIS, FICA and other financial market regulations.
- Oversight of the process for registrations and de-registrations for officers and traders.
- Ensuring that the firm’s policies and procedures framework is appropriate for the firm’s business activities in the region.
- Identifying, and building out, requisite Compliance training.

**SKILLS AND EXPERIENCE WE’RE LOOKING FOR**
- Experience as a CCO and/or MLRO in the region
- Undergraduate degree or higher in Law, Economics, Finance or Master’s degree or MBA a plus, but not required
- 10+ years of experience as a Compliance officer within a financial institution
- Registered JSE compliance officer (Bond ETP Market, Derivative Marker and, Interest Rate and Currency Markets)
- JSE Derivatives Compliance Officer Exam
- JSE interest rate and currency market, Registered Persons Examinations modules: Regulation and Ethics of the SA Financial Market Introduction to Financial Markets The Bond Market
- JSE interest rate and currency derivatives Registered Persons Examinations: The Derivatives Market
- Good working knowledge/understanding of FAIS, FICA, JSE, FMA
- Experience of interaction with the FSCA, JSE, SARB and FIC
- Strong communication and interpersonal skills
- Good team player - one who is able to prioritize in a fast moving, constantly changing environment.
- Entrepreneurial inclination - ability to work alone and act as project manager

ABOUT GOLDMAN SACHS

At Goldman Sachs, we commit our people, capital and ideas to help our clients, shareholders and the communities we serve to grow.

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