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Compliance Officer

1 month ago

Pretoria, Gauteng, South Africa Numeral XII (Pty) Ltd. Full time
Job Title: Compliance Officer

We are seeking a highly skilled Compliance Officer to join our team at Numeral XII (Pty) Ltd. in the Financial Services industry.

About the Role:

The Compliance Officer will be responsible for ensuring that our company complies with all relevant laws, regulations, and industry standards. This includes implementing and enforcing compliance programs, maintaining awareness of regulatory frameworks, and consulting with operational managers to ensure conformance with applicable laws and regulations.

Key Responsibilities:
  • Implement and enforce compliance programs to ensure adherence to regulatory requirements.
  • Maintain awareness of regulatory frameworks and specific obligations within the Financial Advisory and Intermediary Services (FAIS) Act, code of conduct, and requirements.
  • Consult with operational managers to ensure conformance with applicable laws and regulations.
  • Manage, oversee, and monitor Financial Advisory and Intermediary Services (FAIS) compliance to ensure that representatives comply with all financial soundness requirements, license conditions, and annual levies.
  • Perform statistical sampling and monitoring.
  • Maintain a register of representatives and inform the Registrar of any changes.
  • Responsible for the control of Anti-Money Laundering and Anti-Money Laundering Foreign Account Tax Compliance Act (FATCA) regulations.
  • Analyze received documents and interact with the Office Manager to advise if received documents are acceptable.
  • Ensure compliance with and oversight of ongoing statutory regulatory requirements.
  • Responsibility includes monitoring and validation of investor files, technical and documentary support to investor teams, updating of operational procedures, and participation in compliance committees.
  • Develop, initiate, maintain, and revise policies and procedures for the general operation of regulatory compliance.
  • Identify potential areas of compliance vulnerability and risk, develop and implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future.
  • Provide Compliance reports to Management to mitigate risk and assess success.
  • Ensure effective risk management and internal control for the area of responsibility.
Requirements:
  • Computer literate with knowledge in Excel, Word, and MS Suite.
  • Completed Senior Certificate (Matric).
  • Meeting the competence, qualifications, and experience requirements to be registered as a Compliance Officer with the Financial Sector Conduct Authority would be advantageous.
  • 3-6 years' experience as a Compliance Officer in the Financial Services Industry.
  • A thorough understanding and knowledge of compliance risk management and monitoring programs.
  • A thorough understanding and knowledge of the regulatory requirements impacting on the various businesses (e.g. FAIS, FICA, LTIA, PPR, POPIA).
  • Degree in Compliance/Legal or a similar field.
  • Ability to communicate appropriately and effectively in spoken and written English and Afrikaans.
  • Be able to work long hours when required.
What We Offer:

As a Compliance Officer at Numeral XII (Pty) Ltd., you will have the opportunity to work in a dynamic and fast-paced environment, with a competitive salary and benefits package. You will also have the chance to develop your skills and knowledge in compliance and risk management, and contribute to the success of our company.

We are an equal opportunities employer and welcome applications from all qualified candidates. If you are a motivated and experienced Compliance Officer looking for a new challenge, please submit your application.