Compliance Guide Officer

4 weeks ago

Johannesburg, South Africa The Focus Group Full time

**CLIENT**

One of the largest JSE listed Financial Services Group, with a company culture that supports employee growth, development and performance reward

This role falls within **Group Compliance department** - focus is to ensure that CLIENT Group’s core purpose and reputation is protected. The ambition of the Group Compliance department is to be the most respected and trusted compliance practice in the financial services sector. The department must be visible, trusted and respected.

**JOB PURPOSE**

To effectively and proactively assist the **CLIENT’s Invest Product Team** in managing its responsibility to comply with all the regulatory requirements and minimize the compliance risks identified in business by implementing compliance risk management process that includes the identification, assessment, management, monitoring and reporting of compliance risks that are faced by the relevant stakeholder. In addition to the above, the role also requires engagement with the regulatory bodies from time to time

**IDEAL CANDIDATE**

Strong compliance related experience (at least 3 years) with in-depth understanding of FAIS Act, Especially CAT III and Long Term insurance Act as it related to underwritten INVESTMENT policies. Experience in Umbrella Funds or Investments related management preferred.

**JOB REQUIREMENTS**
- **Relevant tertiary qualification** (preferably in the legal or commerce field).
- The person must have a clear and **in-depth understanding of the FAIS Act (especially Cat III) and the Long
- Term Insurance Act as it relates to the underwritten investments policies).**:

- **Umbrella Funds, Investment and CATIII experience**:

- At least **3 years compliance-related**:

- Experience in **drafting Compliance Risk Management Plans and conducting Compliance monitoring**:

- EE policy will apply

**JOB RESPONSIBILITIES**
- Implementation of the Group Compliance Framework as relevant to the applicable Business Unit and advising on processes and suitable control frameworks to implement strategic regulatory obligations
- Provision of strategic guidance and support to the Business Units on the implementation of new and changed regulatory obligations and with the aim of ensuring that business objectives (strategic and operational) are aligned to the regulatory framework and exposure profile of the business
- Managing the Regulatory Profile and engaging with the Executive Management team on any incidents and exposures relating to its regulatory obligations
- Development and oversight of reports as well as setting of reporting standards to provide accurate pertinent compliance reports
- Project management in support of compliance requirements, implementation of systems, procedures, policies and training requirements
- Compliance monitoring of the applicable business unit compliance functions and assurance across the business units
- Assist management with identification and evaluation of compliance exposures and regulatory breaches
- Engagements with Regulators and with other interest groups in the Industry

  • Compliance Officer

    1 month 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...

  • Officer - Compliance Officer.risk and Compliance

    1 month ago

    Johannesburg, South Africa MTN Nigeria Full time

    **Compliance Officer: MFS and Financial Crimes** **Mission** The Compliance Officer MFS and Financial Crimes is responsible for the execution of compliance monitoring and oversight (second line role) in the Mobile Financial Services (MFS) and Financial Crimes business units, using the established MTNSA Compliance Framework. The role is to conduct compliance...

  • Compliance Officer

    1 month ago

    Johannesburg, South Africa Six Sense Full time

    Gauteng, JHB - Eastern Suburbs - Annually Cost To Company (Market related) A well-established business is seeking to appoint a Compliance Officer The main purpose of the job is to provide support in the management of the compliance and information (PAIA and POPIA) management functions, so as to ensure that all compliance related matters are timeously...

  • Compliance Officer

    4 days ago

    Johannesburg, South Africa Hire Resolve Full time

    Hire Resolve's client is looking for a Compliance Officer to join their team. Our client is seeking a dedicated and detail-oriented individual who will be responsible for ensuring compliance with regulatory requirements and internal policies. As a Compliance Officer, you will play a crucial role in maintaining the company's integrity and reputation by...

  • Compliance Officer

    1 month ago

    Johannesburg, South Africa Mass Staffing Projects Full time

    **Job Information** - Location- Johannesburg- Salary- R450k - R400k- Job Type- Permanent- Education- BCom Law / LLB- Experience- 2 - 4 Years- Reference- 011620FGCOMP01- - finance.jobs(at)staffingprojects.co.za- Fax- 0865728847A leading, forward thinking bank based in Sandton is currently looking for a Compliance Officer. You should have previous exposure to...

  • Compliance Officer

    3 weeks ago

    Johannesburg, South Africa JenRec Recruitment Full time

    The Africa Regional Compliance Officer will be responsible for ensuring that all African legal entities comply with all relevant laws, regulations, and internalpolicies. The role involves developing and implementing an effective compliance program, conducting regular audits, and providing guidance to employees on compliancematters. General: The Compliance...

  • Compliance Officer

    1 month ago

    Johannesburg, South Africa JenRec Recruitment Full time

    The Africa Regional Compliance Officer will be responsible for ensuring that all African legal entities comply with all relevant laws, regulations, and internalpolicies. The role involves developing and implementing an effective compliance program, conducting regular audits, and providing guidance to employees on compliancematters. General:The Compliance...

  • Compliance Officer

    1 month ago

    Johannesburg, South Africa CFS Recruitment (Pty) Ltd Full time

    My Short Term Insurance Client in Bedfordview is looking for a Compliance officerYou will be primarily responsible for the development and monitoring implementation of business risk and compliance framework as well as ensuring industry and regulatory compliance programs are in line with the prevailing legislative environment governing the financial sector in...

  • Compliance Officer

    1 month ago

    Johannesburg, South Africa Telebest Full time

    Our client has an opportunity available for a Compliance Officer.Requirements:Bachelor’s degree.Commerce or Legal degree.2 to 3+ years practical compliance risk management or legal experience.Member of the Compliance Institute of Southern Africa.  Responsibilities:Conduct formal Compliance Risk Profile workshops to identify and assess the total universe...

  • Compliance Officer

    4 weeks ago

    Johannesburg, South Africa Bryte Insurance Full time

    Summary Key Tasks & Accountabilities - Providing advice and guidance to management and employees. - Establishing, enhancing, and implementing relevant compliance policies and procedures and providing best practice solutions and - Analysing external requirement and trends - Assumes responsibility for monitoring and review activities in areas of expertise: -...

  • Compliance Officer

    1 month ago

    Johannesburg, South Africa Nedbank Full time

    **Job Classification** - **REQ: 130239 - Refilwe Falatsi**: - **Division: Nedbank Insurance | Governance**: - **Closing Date: 6 December 2023**: - **Employment Equity Statement: Preference will be given to individuals from underrepresented groups.** - Job Family- Risk, Audit and Compliance - Career Stream- Regulatory Compliance - Leadership Pipeline-...

  • Country Compliance Officer

    1 month ago

    Johannesburg, South Africa Coca-Cola Beverages Africa Full time

    Coca-Cola Beverages Africa (CCBA) presents an exciting opportunity for an experienced Country Compliance Officer. This is a specialist role which will interact extensively with leadership and stakeholders at various levels throughout a country. CCBA is the largest African Coca-Cola bottler, accounting for 40% of all Coca-Cola volumes on the continent. CCBA...

  • Compliance Officer

    1 month ago

    Johannesburg, South Africa SET Recruitment Consultants Full time

    **Compliance Officer** **Market-related Salary** **Johannesburg** **Role Purpose** The role of the Compliance Officer is to focus on the implementation and management of an effective legal compliance program - focusing on global electrical safety standards while ensuring that the Company complies with its outside regulatory and legal requirements, as...

  • Junior Compliance Officer

    4 weeks ago

    Johannesburg, South Africa Global 12 Full time

    **Junior Compliance Officer** **Position Overview**: As a Junior Compliance Officer at Global 12, you will be responsible for supporting the team in ensuring that our operations comply with regulatory requirements and internal policies. This role offers an excellent opportunity for a recent graduate with a Bachelor of Commerce (BComm) and Bachelor of Laws...

  • Compliance Manager

    1 month ago

    Johannesburg, South Africa FirstRand Full time

    About us, purpose, experience and qualifications **about us**: **purpose**: - To ensure the implementation of the Group’s compliance frameworks and programmes and in consultation with business ensure conformance and adherence with regulations and delivers through a team of compliance specialists**experience and qualifications**: - Minimum Qualification...

  • Officer - Compliance Officer.risk and Compliance

    4 weeks ago

    Johannesburg, South Africa MTN Nigeria Full time

    **Mission** The Compliance Officer MFS and Financial Crimes is responsible for the execution of compliance monitoring and oversight (second line role) in the Mobile Financial Services (MFS) and Financial Crimes business units, using the established MTNSA Compliance Framework. The role is to conduct compliance reviews to assess compliance with applicable...

  • Compliance Officer | Sandton

    1 month ago

    Johannesburg, South Africa The Recruitment Council Full time

    Are you an experienced Compliance Officer with a passion for ensuring regulatory adherence in the financial industry? An esteemed Banking Institution is currently seeking a dynamic and skilled professional to join their Compliance team. To monitor and provide assurance on the adherence to compliance practices in client facing clusters to ensure compliance...

  • Governmental Compliance Officer

    1 month ago

    Johannesburg, South Africa Isilumko Staffing Full time

    We are seeking a dedicated and experienced Compliance Monitoring Officer to join our team. The primary role of the Compliance Monitoring Officer is to ensure adherence to the regulations. The successful candidate will be responsible for proactively identifying non-compliance, working with department's delivery agencies to rectify non-compliance, and...

  • Compliance Officer

    4 weeks ago

    Johannesburg, South Africa Isilumko Staffing Full time

    We are in search of an experienced and qualified Compliance Officer to join a prominent government organization in Johannesburg. **Key Responsibilities**: - Oversee building inspections and audits. - Conduct compliance monitoring. - Ensure the safeguarding of company investments. - Report instances of non-compliance. - Deliver compliance awareness...

  • Head - Compliance

    1 month ago

    Johannesburg, South Africa Amicorp BPO Full time

    The role holder will be responsible for directly managing and leading the Group’s Compliance teams based in central offices (India, Mauritius) as well as the Local Compliance Officers (LCO’s) and Anti- Money Laundering Officers (MLROs) of all business lines and jurisdictions. The role holder will ensure that the whole Compliance function operates as one...