Compliance Regulatory Officer
4 days ago
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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