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Compliance Officer

5 months ago

Johannesburg, South Africa Hollard Recruitment Full time

**Job Advert Summary**:
The Group Compliance department is looking for a Compliance Officer to join the team. The Compliance Officer will report into the Senior Compliance Manager, the incumbent will assume responsibility for assisting in developing, implementing, and maintaining a system of compliance for the Hollard Group.

**Required Knowledge and Experience**:
**Required Experience**:

- Min 4-6 years’ experience in the financial services industry in a risk and compliance role and 1-3 years in a management role.
- Investment experience is a must.
- FAIS, Insurance Act and/or LTI and STI experience is a must.
- FSCA Compliance Officer (Cat I and Cat II) - Registered Member of the Compliance Institute preferable.

**Required Knowledge & Skills**:

- Expert knowledge of Life and Non-Life Insurance, CISCA, related regulations and industry guidelines, FAIS, FICA, FATCA, POPIA, TCF and new applicable industry legislation, Companies Act and King IV requirements

**Key Responsibilities**:

- Responsible for implementing the organisation's or business units' compliance program with specific focus on ensuring completion of the assurance coverage plan
- Maintains awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, Insurance Acts, CISCA, code of conduct, and other regulatory requirements.
- Consults on an on-going basis with operational managers to ensure compliance with applicable laws and regulations covering diverse fields.
- Responsible for the training and on-going performance management of direct employees.
- Ensures compliance with and oversight of, ongoing statutory regulatory requirements.
- This responsibility includes monitoring and validation of files, technical and documentary support to teams, updating of operational procedures and participation in compliance committees.
- Screen the regulatory environment for changes and developments that impact the Hollard Group.
- Evaluate new regulatory requirements, advise business on practical impacts and implications and guide the implementation of appropriate projects, processes and controls to ensure compliance with new requirements and assist with training.
- Guiding remedial action plans and risk mitigation strategies in line with businesses’ objectives
- Assist business in providing guidance in complaints resolutions.
- Ad hoc projects and duties pertinent to specific governance and compliance.

**Educational Requirements**:

- Relevant Tertiary Degrees - LLB degree and a relevant post graduate diploma would be an advantage
- Regulatory exams