Compliance Specialist
18 hours ago
We are seeking a highly skilled Compliance Officer to join our team at Numeral Financial Services Group.
About the RoleThis is a challenging and rewarding role that involves implementing and enforcing compliance programmes, maintaining awareness of regulatory frameworks, and providing guidance on conformance with applicable laws and regulations.
Duties and Responsibilities- Implement and enforce compliance programmes;
- Maintain awareness of regulatory framework and specific obligations within Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements;
- Consult with Operational managers to ensure conformance with applicable laws and regulations;
- Manage, oversee and monitor Financial Advisory and Intermediary Services (FAIS) compliance to ensure representatives comply with all financial soundness requirements, license conditions and annual levies;
- Perform statistical sampling and monitoring;
- Maintain register of representatives and inform Registrar of any changes;
- Control Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) regulations;
- Analyse received documents and interact with Office Manager to advise if received documents are acceptable;
- Ensure compliance with ongoing statutory regulatory requirements;
- Monitor and validate investor files, provide technical and documentary support to investor teams, update operational procedures, and participate in compliance committees;
- Develop, initiate, maintain and revise policies and procedures for general operation of regulatory compliance;
- Identify potential areas of compliance vulnerability and risk, develop corrective action plans for resolution of problematic issues, and provide guidance on how to avoid or deal with similar situations in future;
- Provide compliance reports to Management to mitigate risk and assess success;
- Ensure effective risk management and internal control for area of responsibility.
The ideal candidate will have excellent communication skills, attention to detail, and ability to work accurately and effectively in a highly pressurised environment.
Requirements- Computer literate with knowledge in Excel, Word and MS Suite;
- Completed Senior Certificate (Matric);
- Meeting competence, qualifications and experience requirements to be registered as Compliance Officer with Financial Sector Conduct Authority would be advantageous;
- 3-6 years' experience as Compliance Officer in Financial Services Industry;
- A thorough understanding and knowledge of compliance risk management and monitoring programmes;
- A thorough understanding and knowledge of regulatory requirements impacting on various businesses (e.g. FAIS, FICA, LTIA, PPR, POPIA);
- Degree in Compliance / Legal or similar field;
- Ability to communicate appropriately and effectively in spoken and written English and Afrikaans;
- Ability to work long hours when required.
The estimated salary for this role is R550,000 per annum, based on industry standards and location.
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