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Legal and Compliance Officer

2 months ago

Pretoria, South Africa RJPersonnel Full time

3years
- FAIS and Section 43 FICA Compliance Officer responsible for governance of risk and compliance.
- Fulfil compliance function required in terms of FAIS, FICA and other applicable legislation and business requirements.
- Expert knowledge of FAIS and FICA and all the regulations.
- Good understanding of POPIA, ASISA and relevant CIS Hegde Fund FSCA Board Notices.
- Establish a culture of compliance and maintain a compliance risk framework together with the external compliance officer.
- Ensure that TCF outcomes are achieved.
- Working with external compliance to implement and maintain policies.
- Oversee mandate compliance and mandate monitoring.
- Analysis and implementation of regulatory changes.
- Assist in the implementation of new legislative requirements.
- Provide training or prepare material on regulatory changes.
- Sign off on FICA, client risk rating and due diligence documents.
- Maintaining the RMCP and ensuring that the procedures are followed.
- Reviewing and drafting SLA’s and agreements to be entered into between clients, services providers and stakeholders.
- Review of legal documents with service providers.
- Liaising with the regulators as and when required.
- Implementing CPD and internal training plans.

**Qualifications and Experience**:

- Legal degree.
- FSCA recognised qualification.
- Registered Category I, II and IIA Compliance Officer with the FSCA would be advantageous.
- Minimum 3 years’ experience in compliance or risk management within the financial services industry.

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