Compliance Risk Professional
2 weeks ago
- Job Summary
- As a Compliance Risk Professional at Catch Recruit, you will be responsible for the creation and updating of compliance risk management plans and monitoring compliance in accordance with primary and secondary legislation.
- Implementing, maintaining, and managing a regulatory compliance management framework within the business, in accordance with the overall risk management framework and group requirements.
- Create processes to meet regulatory requirements and mitigate identified compliance risks within the business.
- Maintain a compliance culture within the business and analyze legislation to advise the business on regulatory changes that may impact compliance management.
- Establish and maintain relationships with internal and external stakeholders.
- Assist the business in creating processes to mitigate identified compliance risks and assist in drafting and implementing compliance policies.
- Minimum of 3 years of compliance experience in a risk or compliance role in a Category I or II financial services provider environment.
- Understanding of the financial services industry, specifically advisory, and knowledge of requirements, implementation, application, and monitoring of FAIS, FICA, and TCF.
- Knowledge and understanding of legal principles and ability to interpret legislation, as well as compliance risk management principles.
- A postgraduate compliance or risk management qualification and knowledge of the Financial Services Industry are advantageous.
Requirements
- Relevant degree (preferably a law degree)
- Computer literate and proficient in MS Office
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