Compliance Officer

19 hours ago

Johannesburg, Gauteng, South Africa Energy at Work Projects Full time
Job Title: Compliance Officer

At Energy at Work Projects, we are seeking a highly skilled Compliance Officer to join our team. As a Compliance Officer, you will play a critical role in ensuring that our organization adheres to all relevant laws, regulations, and industry standards.

Key Responsibilities:
  • Compliance Monitoring: Assist in monitoring compliance with applicable legislation and internal requirements.
  • Regulatory Reporting: Fulfil Compliance functions required in terms of the FAIS legislations such as monitoring and reporting to the financial services provider and the FSCA when required.
  • Compliance Risk Management: Identify and assess compliance risk areas periodically and appropriately address findings through relevant and appropriate action plans processes. Escalate any concerns to business immediately.
  • Procedure Establishment and Maintenance: Assist with the proper establishment and maintenance of procedures on the identification, reporting and resolution of breaches and other compliance and regulatory issues.
  • Legislative Registers: Maintain and update all legislative Registers bi-monthly.
  • Representative Compliance: Track and monitor all representatives FSCA Deadlines and ensure compliance, Complete FSCA exemptions when required.
  • Representative Support: Assist reps with completing Exemption applications.
  • Supervision and Insurance: Oversee SBIB Supervision and conduct monthly meetings with the supervisors. Manage the PI Insurance/ Claims for projects and FSP.
Key Individual Functions:
  • Legislative Awareness: Stay up to date with legislation and FSCA board notices.
  • Register Maintenance: Maintain the FSP's legislative registers.
  • Representative Fitness: Ensure the representatives remain Fit and proper.
  • Representative Management: Add and remove representatives on the rep register, update the rep register with reps status changes or sub category change.
  • Letter Creation: Create rep letters for all representatives.
  • Supervision Agreements: Create supervision agreements for representatives working under supervision and conduct monthly supervision.
  • FSP Fitness: Ensuring the FSP maintains their Fit and Proper status, ensure all actions such as incentives align with the FAIS act.
  • Representative Debarment: Debar representatives who are in contravention of the FAIS act.
  • Compliance Practice Management: Manage the FSP relations with the Compliance practice, implement changes and policies brought to the FSP's attention by the compliance practice.
  • Policies and Training: Manage and update the FSP's policies such as the Complaints policy, FICA policy and Business continuity policy. Ensure all staff are trained on the GCOC, FICA, POPIA annually.
  • Annual Declarations: HIGS And Financial Declaration to be completed by all staff annually.
Project Onboarding:
  • Pack Completion: Ensure that the content of the packs are completed as per the client requirements and that minimal back and forth is managed upfront.
  • Liaison and Sign-off: Liaise with the various FAIS teams of the client as well as the necessary EAW personnel to manage the sign off process of the Packs.
  • Process Optimization: Streamline processes to optimize efficiencies.
Company and Client Engagement:
  • Compliance Matters: Engage with Portfolio Managers and business leaders on compliance matters relating to all compliance matters.
  • Business Unit Oversight: Support the designated business unit leaders in exercising their responsibility for oversight of compliance in their business units.
  • Compliance Mandate: Execute all other functions related to the compliance mandate as delegated by the compliance officer and Compliance Manager of the client where within mandate.

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