Compliance Specialist

2 weeks ago

Cape Town, Western Cape, South Africa The Recruitment Council Full time
Compliance Specialist

The Recruitment Council is seeking a highly skilled Compliance Specialist to join our team. As a key member of our Compliance Unit, you will play a crucial role in ensuring that our company complies with regulatory requirements, best practice guidelines, and internal policies.

Key Responsibilities:

  • Assist the Compliance Officer in embedding a culture of compliance
  • Ensure compliance with laws and provisions that apply to insurers and financial services providers, with special focus on FAIS, PPR, POPIA, FICA, and the Insurance Act
  • Responsible for Compliance Monitoring
  • Report on level of compliance
  • Present findings and engage with Management
  • Maintain Noncompliance Register
  • Assist with ad hoc rollouts of compliance-related Initiatives
  • Assist the Head of Compliance with regulatory reviews, inspections, and investigations
  • Assist Head of Compliance with compliance awareness and trainings
  • Review and develop relevant policies
  • Develop and implement an internal compliance framework (workplan) that reflects the organization's unique characteristics and compliance with legislative universe (LTIA, PPRs, FAIS, FICA, and POPIA)
  • Monitor and audit above-mentioned workplans to ensure compliance with all applicable operational legislation
  • Strong and continued compliance focus on clients by ensuring sufficient oversight in relation to Binder holder, JRs, and outsourced partners, and intermediaries
  • Preparing and presenting clear and concise compliance reports to the Head of Compliance
  • Interacting with regulators on compliance issues
  • Interpret and report on new and emerging legislation and the impact it has on the organization and ensuring awareness and understanding of changes introduced

Requirements:

  • Educational
  • LLB or Bcom
  • Compliance Management Certificate or Postgraduate Diploma in Compliance (preferably)
  • RE 1 (preferably)
  • Skill/Experience
  • 2-3 years compliance experience
  • 1-year monitoring experience in Life Insurance environment (preferably)
  • General knowledge and understanding of legislation in the financial services environment
  • Experienced in reporting
  • Proficiency in MS Office

Competencies:

  • Communicate clearly and concisely
  • A team player with a flexible approach
  • Problem-solving skills
  • A desire to learn and grow
  • Upholds ethics and demonstrates high levels of integrity
  • Attention to detail
  • The ability to handle pressure
  • Able to work independently or with limited supervision
  • Self-management

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