Legal and Compliance Specialist

7 months ago

Johannesburg, South Africa PPS Recruitment Full time

**Job Advert Summary**:
Legal
To assist business proactively and constructively in identifying and interpreting applicable legislation and minimise legal risks through the provision of legal advice and assistance to the business.

Compliance

**Minimum Requirements**:
**Qualifications**:

- Matric.
- LLB degree.
- Admitted as an attorney of the High Court (advantageous).
- Postgraduate Diploma in Compliance Risk Management (advantageous).

**Experience**:

- At least 2 years’ experience in financial services compliance, FAIS and short-term insurance experience will receive preference.

**Knowledge**:

- Knowledge of Financial services regulatory environment.
- General legislative knowledge.
- Demonstrated knowledge of Compliance Risk Management Methodology.
- Working knowledge of CURA (advantageous).
- Ability to write, communicate and interpret legislative requirement at the appropriate level.

**Skills**:

- Ability to independently solve complex legal problems in a systematic and logical manner.
- Ability to implement annual compliance plan.
- Ability to advise business on legal and compliance matters.
- Ability to write, communicate and interpret legislative requirement at the appropriate level.
- Ability to independently draft legal documents.
- Ability to conduct legal research.
- Good facilitation and conflict handling skills.
- Ability to collate information and to draft legal reports.
- Ability to partner with customers and/or colleagues to deliberate and discuss complex and/or sensitive issues with the aim of finding an appropriate solution.

**Strategic Orientation**:

- Knowledge and understanding of the financial services regulatory environment.
- Acts with confidence and works independently within a team environment.
- Provides input to Compliance strategies and plans.

**Communication**:

- Is articulate and communicates in a logical way and structures information to meet the needs and understanding of audiences on all levels.
- Expresses opinions, information and key points of view clearly and assertively

**Interpersonal and Intrapersonal Skills**:

- Excellent verbal, presentation and written skills.
- Facilitation.
- Conflict Handling.
- Influencing.
- Analytical Thinking.
- Operational Management.
- Collaborative.
- Sense of urgency.
- Results & Learning Orientation.

**Computer LIteracy**:

- Is proficient in the use of the latest MS Office packages, particularly Excel, Word and Power-point.

**Duties and Responsibilities**:

- Project management and implementation of key compliance projects.
- Presentations to members of Exco, or key resources used by Exco, for delivery of projects.
- Key staff member of the legal and compliance team.
- Identify gaps or potential deficiencies in compliance and other business areas and resolve.
- Identify applicable legislation, provide comments, perform impact analysis and give advice and guidance to business.
- Implementation of requirements arising from new and amended regulatory items.
- Risk Assessment of Regulatory items.
- Maintain compliance risk assessments and compliant risk management plans for prioritised regulatory items on CURA.
- Manage breaches and risk exposures.
- Develop and maintain compliance monitoring plans.
- Conduct compliance monitoring activities, including compliance reporting.
- Draft legal contracts, policy documents etc. and review standard business communications.
- Provide advice to business on legal and compliance matters and implementation of controls, including control effectiveness assessments.
- Provide legal support to all areas of the business.
- Litigation management.
- Complaints management, including attending to all Ombudsman and Internal Arbitrator matters.
- Liaising with key stakeholders in the business, the FSCA, PA and other regulatory bodies when required.
- Compliance training on regulatory items.
- Training on compliance methodology
- Support business in providing necessary updates on CURA.

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