Compliance Officer

2 weeks ago

Johannesburg, South Africa Liyema Consulting Full time

Qualifications & Competencies
- LLB/BCOM/BA Degree.
- Member of CISA.
- RE1advantageous. RE 5 ideal.
- 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
- 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.

**Responsibilities**
- Implementation and compliance of risk management processes and governance framework within the entity as required for an authorised 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 Organisation, Representatives and Key Individuals regarding any FSP regulatory and conduct topics.
- Review and resolve Fit and Proper queries.
- FSCA - administrative and compliance adherence to current and future applicable regulatory requirements which impact the business of BMW Financial Services, including any codes of conduct and future CBR reporting.
- ** 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 as a result 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.

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