Global Head of Compliance

2 days ago


Cape Town, Western Cape, South Africa OA Markets Full time
Job Summary

We are seeking a highly experienced and skilled Global Head of Compliance to join our team at OA Markets. As a key member of our organization, you will be responsible for developing, implementing, and managing our global compliance strategy to ensure adherence to international and local regulatory requirements and internal policies.

Key Responsibilities
  • Develop and Execute Global Compliance Strategy
    • Develop and execute a comprehensive global compliance strategy aligned with organizational goals and regulatory requirements in all operational regions.
    • Ensure consistent implementation of compliance policies and procedures across all geographies.
    • Ensure all activities undertaken by the business are conducted in a compliant manner and in accordance with our regulators.
  • Regulatory Oversight
    • Monitor and interpret international regulations and laws affecting the company's operations.
    • Ensure timely updates and alignment of the company's compliance practices with evolving global regulatory standards.
    • Work together with the Global Clients Desk to aid in the onboarding of clients both locally and internationally.
    • Evaluate business activities (e.g. investments) to assess compliance risk.
    • Attend and actively participate in team and company meetings.
    • Perform miscellaneous job-related duties as assigned.
  • Leadership and Management
    • Lead, mentor, and manage the global compliance team, including regional compliance officers.
    • Establish and oversee a global network for compliance-related issues, fostering collaboration and knowledge sharing.
  • Risk Assessment and Mitigation
    • Conduct global risk assessments to identify potential compliance risks and develop strategies to mitigate them.
    • Oversee the implementation of risk management and compliance programs to address identified issues.
  • Training and Awareness
    • Develop and deliver global compliance training programs tailored to different regions and regulatory requirements.
    • Promote a culture of compliance and ethical behavior throughout the organization.
  • Reporting and Communication
    • Prepare and present global compliance reports to senior management and the board of directors.
    • Act as the primary point of contact for regulatory agencies and external auditors on global compliance matters.
    • Attend and actively participate in team and company meetings.
  • Incident Management and Resolution
    • Oversee investigations into compliance breaches and coordinate global response efforts.
    • Develop and implement corrective action plans to address and prevent future compliance issues.
  • Policy Development and Implementation
    • Create and maintain global compliance policies and procedures, ensuring they are effective and up-to-date.
    • Ensure that regional policies are aligned with global standards and local regulations.
  • Strategic Advisory
    • Provide strategic advice on compliance-related matters to senior leadership and other key stakeholders.
    • Assist in mergers, acquisitions, and other corporate activities to ensure compliance considerations are integrated.
    • Meet and exceed KPIs as set by management.
    Requirements
    • Education: Bachelor's degree in law, Business Administration, Finance, or a related field. A master's degree or professional certifications (e.g., Certified Compliance and Ethics Professional) will be an added advantage.
    • Experience: At least 10-11 years of experience in a senior compliance role with global responsibilities, including significant experience managing multi-regional compliance functions. Proven track record of leading complex compliance initiatives and managing a global compliance team.
    • Skills: Extensive knowledge of international regulations, standards, and best practices in compliance. Must have keen interest and understanding of financial markets. Strong leadership and team management skills, with the ability to work across different cultures and regions. Excellent communication and interpersonal skills, with the ability to engage with senior executives and external stakeholders effectively. High level of analytical and problem-solving skills, with the ability to address complex compliance issues.


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