Compliance Officer

2 months ago

Cape Town, Western Cape, South Africa Stonehage Fleming Full time
Job Title: Risk and Compliance

This is a key role within Stonehage Fleming, reporting directly to the Head of Risk & Compliance in South Africa. The successful candidate will be responsible for assisting the organization in complying with applicable legislative and regulatory requirements.

Key Responsibilities:
  • Assist in identifying, assessing, managing, monitoring, and reporting on compliance risks facing the organization.
  • Maintain and execute the compliance monitoring program, prioritizing risks based on their weighted impact.
  • Support the Head of Risk and Compliance in risk and compliance matters as needed.
Principal Elements & Accountabilities:
  • Act as the FAIS compliance officer for various local and foreign FSPs.
  • Apply for and maintain FSP licenses, ensuring key individuals and representatives are appointed and/or removed as necessary.
  • Keep FSP profile information up to date, review supervision templates, and draft Supervision Agreements.
  • Maintain supervision registers and ensure supervision is tracked appropriately.
  • Assist with new FSP license applications or lapsing of existing licenses (where applicable).
  • Prepare reports and regulatory submissions to regulatory authorities.
Fit & Proper Requirements:
  • Ensure key individuals and representatives comply with fit and proper requirements, including competence relating to RE5 exams, product-specific training, and CPD.
  • Maintain approval as an accredited CPD provider to assist representatives in obtaining the minimum of 18 hours in a CPD cycle.
  • Draft and roll out CPD knowledge articles to assist with CPD requirements.
  • Implement CPD plan templates to ensure key individuals and representatives remain fit and proper in terms of their competence requirements.
  • Maintain Competence registers.
Maintain Risk & Compliance Policies & Procedures:
  • Horizon scan and respond to regulatory consultations.
  • Stay up to date on new regulations affecting the organization, perform impact assessments, and update policies and procedures accordingly.
  • Ensure employees are educated on the latest regulations and policies.
Combined Risk Assessment (CRA):
  • Assist with reviewing the regulatory universe, assessing, and prioritizing regulatory risk.
  • Meet with relevant individuals within the company to identify, measure, and formally document risks and controls in the CRA.
  • Assist with the continual review and update of the existing CRA with any changes to business processes or new legislation.
FICA:
  • Act as Deputy MLRO for various Accountable Institutions.
  • Review and summarize sign-off NBAC opportunities.
  • Assist with the review and sign-off of periodic AML risk reviews.
Other:
  • Support the business and provide compliance and regulatory advice.
  • Assist with customer complaints.
  • Assist with breach management and complaints: investigation, internal and external reporting, and administration.
  • Review financial promotions/advertisements.
  • Perform any ad hoc duties as required to assist the Risk and Compliance department in meeting its regulatory obligations.
Qualifications:
  • FAIS approved Compliance Officer for Category I and Category II Financial Services Providers.
  • Regulatory Examinations (RE1, RE3).
  • RE5 an advantage.
Experience:
  • At least 5 years compliance/risk/legal work experience in the Financial Services sector.
  • Good working knowledge of FAIS, CISCA, FICA, POPIA, and a solid knowledge of the South African Regulatory Environment in the Financial Services sector.
Competencies and Skills:
  • Commercial focus, understanding the nature of the various group businesses, and determining what needs to be done to comply with applicable legislation and regulation.
  • Excellent interpersonal skills, ability to liaise and collaborate with individuals at all levels, being helpful and co-operative while working towards team goals.
  • Solution-oriented, dedicated, and someone who takes ownership of tasks and responsibilities.
  • Flexible and able to multi-task, setting appropriate priorities and adhering to deadlines.
  • Proven project management skills relating to risk and compliance initiatives.
  • Proven experience of working in a challenging and fast-moving environment, across multiple jurisdictions, and with complex products.
  • Self-motivated and able to use initiative with a strong hands-on approach.
  • Experience managing FAIS/FICA related queries and engaging with the business.
  • Ability to motivate others and foster potential.
  • Ability to think strategically, critically, and long-term.
  • Strong understanding of Excel, Work, and PowerPoint, with an ability to quickly learn/understand other in-house systems.

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