Compliance Officer

4 hours ago

Cape Town, Western Cape, South Africa HR Genie Full time
Job Title: Compliance Officer

HR Genie is seeking a highly organized and detail-oriented Compliance Officer to join our team of professionals. As a Compliance Officer, you will play a critical role in ensuring that our organization adheres to all relevant regulations, laws, and industry standards.

Job Purpose:

The primary purpose of this role is to develop, implement, and oversee comprehensive compliance programs to mitigate risks and promote ethical conduct within the company. You will be responsible for identifying and addressing potential compliance issues, providing guidance to the leadership team to maintain a culture of compliance, and collaborating with various departments to educate and train employees on compliance requirements.

Key Responsibilities:
  • Assure compliance with the FSCA (Financial Service Conduct Authority) through close collaboration with stakeholders, key individuals, and external compliance officers.
  • Identify and brief key individuals and exco on all forthcoming regulation changes and impacts on the business.
  • Liaison with external compliance consultants.
  • Prepare board packs and compliance reports every quarter.
  • Due Diligence and review of third-party contracts including terms of business with various providers.
  • Ongoing compliance monitoring and onboarding checks of all advisory staff, fit and proper competency checks according to FSCA regulations.
  • Audit support - Provision of compliance requirements for internal and external audits.
  • Oversight of the compliance team responsible for all onboarding and compliance checks of all cases within the company, and review of case escalations.
  • Implementation and oversight of all aspects of anti-money laundering (AML) systems, including monitoring effectiveness and enhancing the controls and procedures where necessary.
  • Leading and executing a risk-based AML compliance program to ensure ongoing compliance with statutory and regulatory requirements.
  • Regular risk assessments and updates to Risk Management and Compliance Policy: such as identifying potential compliance risk and actively advising management to implement proper compliance program to address any potential regulatory problems.
  • Implement, regularly review, and update all policies and procedures to ensure accuracy and compliance with regulatory changes such as the Treating Clients Fairly, Risk Management Policy.
  • Complaints management.
  • Establish a culture of compliance by training all staff accordingly.
  • Monitor industry trends and developments and plan for potential changes.
  • Support company secretary on agreements and license applications/renewals where required.

Requirements:

  • Registered Compliance Officer with the FSCA.
  • 5+ Years experience in a compliance role and within the financial services or investment arena.
  • Senior Certificate, Compliance Officer (recognized qualification).
  • Certifications: First Level Regulatory Exam for Representatives (RE5).
  • First Level Regulatory Exam for Key Individuals (RE1).
  • Proven leadership skills gained with a clear understanding of both local and offshore compliance requirements for South African investors.
  • Good understanding of the South African and offshore compliance framework or risk management.
  • Legal business contract drafting and amendments.
  • Good and proven proficiency on MS Office Suite.

What We Offer:

HR Genie offers a competitive salary and benefits package, as well as opportunities for professional growth and development. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.

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