Compliance Officer
4 weeks ago
Ensure monitoring done for relevant legislation within agreed time, including but not limited to FAIS, FICA, Banks Act, NPS, Code of Banking Practice, FATCA, King IV, Companies Act etc.
- This will include projects/reviews as per Compliance Plan. Maintain findings of the monitoring, including supporting evidence of findings.
- Ensure monitoring findings reported in line with monitoring done:
- FSCA reporting.
- Prepare required reports to Head: Compliance where required including board reports.
- Management of identified non-compliance.
- Ensure RMP’s/monitoring plan completed for relevant legislation.
- Policies and procedure review.
- Assist with conducting internal compliance training when required.
- Train and assist employees to improve their regulatory knowledge and enhance the compliance culture.
- Management of onsite reviews.
- Communicate, where applicable, to the business on developments/changes within the regulatory environment.
- Drafting new agreements and reviewing of agreements.
- Legal opinions where applicable
Ability to maintain effective work flow under pressure. Logical, analytical & problem-solving ability.
Excellent communicative abilities and sound interpersonal skills.
Business acumen and grasp of governance and related matters.
Ability to resolve conflicts and disagreements in a constructive manner.
Strong verbal and written communication skills
Ability to interact professionally at all levels of management,employees as well as internal and external stakeholders.
Adaptability
Accountability Attention to detail
LLB/or other relevant post graduate qualification in Compliance and Risk Management
FAIS approval for Category I,2 C Prac Designation
3-5 years related experience
Experience in financial services an advantage with working knowledge of financial services legislation
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