Compliance Regulatory Officer

4 days ago

Cape Town, Western Cape, South Africa Velocity Trade South Africa Full time
Job Description

Company Overview:

Velocity Trade South Africa is a dynamic financial services company seeking a skilled Compliance Regulatory Officer to join our team.

Key Responsibilities:

  • Ensure compliance with relevant financial regulations in South Africa and Barbados while considering broader global regulatory frameworks.
  • Monitor regulatory developments across multiple jurisdictions and assess their impact on Velocity Trade's policies and procedures.
  • Assist in the preparation and submission of regulatory reports to governing authorities in South Africa, Barbados, and other relevant jurisdictions.
  • Conduct periodic compliance risk assessments and implement necessary controls.

Policy & Procedure Management:

  • Develop, review, and update compliance policies and procedures to align with evolving global and local regulations.
  • Provide guidance to internal teams on regulatory requirements and best practices.
  • Ensure proper documentation and record-keeping of compliance-related matters across the South African and Barbados entities.

Global Exposure & Compliance Committee Interaction:

  • Engage with the Global Compliance Committee to discuss compliance initiatives, risk assessments, and regulatory changes.
  • Collaborate with compliance teams across various global offices to ensure a cohesive compliance approach.
  • Contribute to the development and implementation of global compliance strategies while ensuring local regulatory alignment.

Advisory & Training:

  • Act as a subject matter expert, advising internal stakeholders on compliance matters across South Africa and Barbados.
  • Conduct regular compliance training for employees to promote a strong culture of regulatory awareness.
  • Support teams in understanding and implementing regulatory frameworks in their workflows.

Monitoring & Reporting:

  • Conduct internal audits and reviews to identify potential compliance risks across the South African and Barbados entities.
  • Investigate and report compliance breaches, proposing corrective actions where necessary.
  • Maintain detailed records of compliance activities and provide reports to senior management and the Global Compliance Committee.
  • Oversee the company's Anti-Money Laundering (AML) program, ensuring compliance with relevant laws in both jurisdictions.
  • Perform ongoing monitoring of transactions for potential suspicious activity.
  • Coordinate with external regulators, auditors, and internal compliance teams on AML and compliance matters.

Qualifications & Skills:

  • Education: Bachelor's degree in law, finance, business, or a related field (Additional compliance training/certification is preferred).
  • Knowledge: Strong understanding of financial regulations (e.g. FAIS, FMA, Global AML/CFT requirements, FATCA/CRS, MiFID, and equivalent) across multiple jurisdictions.
  • Technical Skills: Proficiency in compliance monitoring tools, regulatory reporting systems, and MS Office Suite.
  • Drafting Skills: Ability to update and develop company policies and documentation on an ongoing basis.
  • Interpersonal Skills: Strong communication and interpersonal skills to collaborate with teams across different global locations.
  • Detail-Oriented: Ability to identify regulatory risks and implement effective compliance strategies.
  • Problem-Solving: Analytical mindset with the ability to interpret regulations and apply them effectively to business operations.
  • Leadership skills: The ability to drive compliance and related projects independently.

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